Job Description
Join our dynamic compliance team as a Compliance Officer in Richmond, VA! At Global Financial Services Inc., we're committed to maintaining the highest ethical standards while navigating complex regulatory landscapes. This pivotal role ensures our organization adheres to federal, state, and industry regulations while fostering a culture of integrity. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional growth in a collaborative environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Provide guidance to departments on regulatory changes and policy updates
- Investigate and resolve compliance violations with corrective action plans
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Coordinate with external auditors and regulators during examinations
- Train employees on compliance policies and ethical standards
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 24 or 27 certification required
- Deep knowledge of SEC, FINRA, and Virginia state regulations
- Strong analytical skills with attention to detail
- Excellent written and verbal communication abilities
- Experience with compliance management software (e.g., Compliance.ai)
- Proven track record of developing effective compliance frameworks