Job Description
Join our dynamic compliance team at Global Financial Services Inc. in Richmond, VA, where we prioritize regulatory excellence and ethical integrity. As a Compliance Officer, you'll safeguard our operations against financial crimes while ensuring adherence to federal and state regulations. We provide all necessary equipment including ergonomic workstations, advanced compliance software, and secure communication tools. Enjoy a collaborative environment with competitive benefits and professional development opportunities.
Responsibilities
- Monitor regulatory changes (e.g., FINRA, SEC, AML) and update compliance policies accordingly
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and deliver compliance training programs for 200+ employees
- Investigate potential violations and prepare detailed incident reports
- Liaise with legal counsel and regulatory bodies during examinations
- Implement corrective action plans and track remediation progress
- Manage compliance documentation and retention protocols
Qualifications
- Bachelor's degree in Finance, Law, or related field required
- 3+ years of compliance experience in financial services
- Certified Compliance & Ethics Professional (CCEP) preferred
- Advanced knowledge of FINRA rules and AML regulations
- Proficient in compliance software (e.g., RSA Archer, LogicGate)
- Exceptional analytical and report-writing skills
- Strong attention to detail with ability to multitask
- Valid Virginia driver's license for occasional off-site meetings