Job Description
Join our dynamic team at Global Financial Solutions Inc. as a Compliance Officer in Tampa, FL! We're offering a competitive sign-on bonus for qualified candidates to help us maintain regulatory excellence in the financial services sector. This role is pivotal in safeguarding our operations through proactive compliance monitoring, policy development, and risk mitigation strategies. Enjoy a collaborative environment with growth opportunities and comprehensive benefits.
Responsibilities
- Monitor regulatory developments (FINRA, SEC, AML) and implement updated compliance frameworks
- Conduct internal audits and risk assessments across business units
- Develop and deliver compliance training programs to staff at all levels
- Investigate and resolve compliance violations through root cause analysis
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Collaborate with legal and audit teams to ensure cohesive risk management
- Lead remediation efforts for audit findings and regulatory examinations
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Active CRCM, CAMS, or CCEP certification required
- Expert knowledge of FINRA, SEC, and AML regulations
- Advanced proficiency in compliance management software (e.g., MetricStream, RSA Archer)
- Exceptional analytical skills with attention to detail
- Strong written/verbal communication and presentation abilities
- Experience managing compliance programs in multi-state operations