Job Description
Join our dynamic compliance team at Global Financial Services Inc. in Lincoln, NE! We're seeking a meticulous Compliance Officer to ensure regulatory adherence and mitigate risks across all operations. Enjoy competitive compensation, comprehensive benefits, and a collaborative work environment where your expertise makes a tangible impact. Drive our commitment to ethical standards and regulatory excellence while advancing your career in the heart of Nebraska's financial hub.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal/state regulations (FINRA, SEC, AML)
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Investigate and resolve regulatory violations with corrective action plans
- Train staff on compliance policies and regulatory updates
- Collaborate with legal and executive teams on compliance strategy
- Monitor regulatory changes and advise on necessary operational adjustments
- Prepare detailed compliance reports for senior management and regulators
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and AML/BSA requirements
- Excellent analytical and problem-solving skills
- Certifications (CRCM, CAMS, or CCEP) highly valued
- Proficiency with compliance software and reporting tools
- Exceptional communication and stakeholder management abilities
- Proven ability to interpret complex regulations