Job Description
Join our dynamic compliance team at Global Financial Solutions Inc. in Richmond, VA, where integrity meets innovation. We're seeking a meticulous Compliance Officer to safeguard our operations and ensure adherence to evolving regulatory landscapes. This pivotal role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, state laws) to update compliance programs
- Conduct internal audits and risk assessments across departments
- Develop and implement compliance policies/procedures with stakeholder collaboration
- Train employees on regulatory requirements and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare compliance reports for senior management and regulatory bodies
- Coordinate with external auditors and examiners during reviews
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years compliance experience in financial services
- Active FINRA Series 63/65/66 licenses required
- Strong knowledge of AML, KYC, and Dodd-Frank regulations
- Advanced proficiency in compliance software (e.g., ComplySci, Adenza)
- Exceptional analytical and problem-solving abilities
- Proven track record of regulatory reporting accuracy
- SHRM or CCEP certification preferred