Job Description
Join our award-winning compliance team in Houston's dynamic energy corridor! Global Financial Services Inc. is seeking a detail-oriented Compliance Officer to safeguard our operations against regulatory risks while driving ethical excellence. This hybrid role offers competitive compensation, comprehensive benefits, and growth opportunities within one of America's most vibrant financial hubs. Be the guardian of integrity in a company that values innovation and compliance excellence.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare regulatory reports and disclosures for senior leadership
- Train staff on compliance policies and regulatory updates
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and risk management teams on emerging regulations
- Maintain comprehensive compliance documentation and audit trails
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or energy sector
- FINRA Series 24 or 26 license required
- Advanced knowledge of federal/state regulations (Dodd-Frank, SOX, AML)
- Strong analytical skills with attention to detail
- Experience with compliance software (e.g., ComplianceEase, Wolters Kluwer)
- Excellent written/verbal communication skills
- Certification (CRCM, CAMS) strongly preferred