Job Description
Join our dynamic team as a Compliance Officer at Global Financial Services Inc., where integrity meets innovation. We're seeking a detail-oriented professional to safeguard regulatory compliance across all operations in our Glendale headquarters. You'll be the guardian of ethical standards, ensuring adherence to federal and state regulations while fostering a culture of transparency. Enjoy competitive benefits, professional development opportunities, and the chance to impact our growing organization's compliance framework.
Responsibilities
- Monitor and interpret evolving regulatory requirements (FINRA, SEC, AML)
- Conduct internal audits and compliance assessments across departments
- Develop/update compliance policies and procedural documentation
- Train staff on regulatory changes and ethical practices
- Investigate potential compliance violations and recommend corrective actions
- Collaborate with legal counsel on compliance risk mitigation
- Prepare regulatory reports and maintain compliance records
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- FINRA Series 24 or 26 certification preferred
- Strong knowledge of federal/state banking regulations
- Excellent analytical and problem-solving abilities
- Exceptional written/verbal communication skills
- Proficiency with compliance management software
- Ability to handle confidential information with discretion