Job Description
Join our dynamic team as a Compliance Officer at Global Financial Solutions Inc., where you'll be instrumental in safeguarding our organization's integrity and regulatory compliance. We're seeking a detail-oriented professional to implement robust compliance frameworks and ensure adherence to federal, state, and industry regulations. This is a pivotal role offering growth opportunities in a supportive, innovative environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and CA DFI regulations
- Conduct risk assessments and internal audits to identify compliance vulnerabilities
- Prepare detailed regulatory reports and maintain accurate compliance documentation
- Train staff on compliance policies and regulatory updates
- Collaborate with legal and executive teams to address compliance gaps
- Stay current on regulatory changes and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years compliance experience in financial services
- FINRA Series 7 and 63/66 licenses required
- Strong knowledge of CA financial regulations and BSA/AML protocols
- Exceptional analytical and problem-solving abilities
- Proficient in compliance software (e.g., Actimize, ComplyAdvantage)
- Excellent written/verbal communication skills