Job Description
Join our dynamic compliance team at Global Financial Services Inc. as a Compliance Officer in Louisville, KY. You'll be pivotal in ensuring our operations adhere to federal regulations, industry standards, and internal policies. This role offers a competitive salary, comprehensive benefits, and opportunities for professional growth in a supportive environment. If you're detail-oriented with a passion for ethical practices, apply today to make a meaningful impact!
Responsibilities
- Monitor regulatory changes and implement compliance policies across all departments
- Conduct internal audits to identify and mitigate compliance risks
- Develop and deliver compliance training programs to staff
- Investigate potential violations and recommend corrective actions
- Maintain accurate compliance documentation and reporting
- Collaborate with legal and executive teams on compliance strategies
- Ensure adherence to AML, KYC, and FINRA regulations
Qualifications
- Bachelor's degree in Finance, Business, or related field required
- 3+ years of compliance experience in financial services
- Certified Compliance & Ethics Professional (CCEP) preferred
- Advanced knowledge of FINRA, SEC, and federal regulations
- Exceptional analytical and problem-solving skills
- Strong written and verbal communication abilities
- Proficiency in compliance management software (e.g., PolicyTech)