Job Description
Join our dynamic compliance team at Global Financial Services Inc. in Boston! We seek a meticulous Compliance Officer to safeguard regulatory integrity while driving ethical business practices. This pivotal role ensures adherence to federal, state, and industry regulations in the financial services sector. You'll collaborate with cross-functional teams to implement robust compliance frameworks, conduct risk assessments, and maintain audit-ready documentation. Our Boston headquarters offers a collaborative environment with professional development opportunities in a thriving financial hub.
Responsibilities
- Monitor regulatory changes (SEC, FINRA, OCC) and implement compliance protocols
- Conduct internal audits and risk assessments for financial products
- Develop/maintain compliance policies and training programs
- Investigate potential violations and remediate issues
- Prepare regulatory reports and manage documentation
- Collaborate with legal, risk, and business units
- Stay updated on AML, KYC, and anti-fraud regulations
Qualifications
- Bachelor's degree in Finance, Law, or related field
- 3+ years compliance experience in financial services
- Knowledge of FINRA, SEC, and state regulations
- Strong analytical and investigative skills
- Relevant certifications (CRCM, CAMS) preferred
- Proficiency in compliance software (e.g., MetricStream)
- Excellent written/verbal communication skills