Job Description
Join our dynamic compliance team at Global Financial Solutions Inc. and become a guardian of regulatory excellence in the heart of Baltimore's thriving financial district. We're seeking a meticulous Compliance Officer to ensure adherence to federal and state regulations while driving ethical business practices. This hybrid role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Responsibilities
- Develop, implement, and monitor compliance programs to adhere to FINRA, SEC, and state regulations
- Conduct thorough internal audits and risk assessments across financial operations
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive stakeholders and regulatory bodies
- Train staff on regulatory updates and compliance protocols
- Collaborate with legal and risk management teams on policy development
- Stay current on evolving financial regulations and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 63, 65, or 99 licenses required
- Strong knowledge of federal/state banking regulations (Dodd-Frank, BSA, AML)
- Exceptional analytical and investigative skills
- Proficient in compliance management software (e.g., RSA Archer, MetricStream)
- Certified Regulatory Compliance Manager (CRCM) certification preferred
- Excellent written and verbal communication skills