Job Description
Join our dynamic team at Global Financial Solutions Inc. as a Compliance Officer and become a guardian of regulatory excellence in the heart of Columbus, Ohio. We're seeking a detail-oriented professional to ensure adherence to federal and state regulations while driving our compliance framework forward. Enjoy competitive compensation, comprehensive benefits, and the opportunity to shape our compliance culture in a growing financial services organization.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with FINRA, SEC, and Ohio state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance requirements and ethical standards
- Investigate and resolve compliance violations with corrective action plans
- Liaise with legal counsel and regulatory bodies during examinations
- Prepare comprehensive compliance reports for senior leadership
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Certified Compliance & Ethics Professional (CCEP) designation required
- Deep knowledge of Dodd-Frank Act, Ohio Revised Code, and FINRA rules
- Strong analytical skills with attention to regulatory nuances
- Experience with compliance management software (e.g., MetricStream, Compliance.ai)
- Exceptional written/verbal communication and presentation abilities