Job Description
Join our award-winning compliance team at Global Financial Solutions, where we prioritize employee success through top-tier equipment and professional growth opportunities. We're seeking a meticulous Compliance Officer to safeguard regulatory integrity while enjoying our state-of-the-art tech setup. This role offers hybrid flexibility with fully furnished remote workstations, dual monitors, and advanced compliance software – all provided to ensure your peak performance. Discover why Buffalo's premier financial institution consistently ranks among New York's best workplaces.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Investigate regulatory violations and recommend corrective actions
- Prepare detailed compliance reports for executive stakeholders and regulatory bodies
- Train staff on regulatory changes and compliance best practices
- Monitor industry trends and update policies to mitigate emerging risks
- Collaborate with legal, audit, and operations teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Strong knowledge of federal/state regulations (Dodd-Frank, AML, KYC)
- Certification (CRCM, CCEP, or CCRM) required
- Advanced proficiency in compliance software (e.g., RSA Archer, ComplyXL)
- Exceptional analytical and documentation skills
- Proven ability to manage multiple complex projects simultaneously