Job Description
Join our dynamic team at Global Financial Solutions as a Compliance Officer in Miami. You'll be instrumental in ensuring regulatory adherence across our financial operations while driving ethical excellence. This role offers growth opportunities in a fast-paced environment where your expertise directly impacts our organizational integrity.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, AML) to implement updated compliance protocols
- Conduct regular risk assessments and internal audits for financial products and services
- Develop and maintain comprehensive compliance documentation and training programs
- Collaborate with legal and operations teams to address regulatory inquiries
- Lead investigations into potential compliance violations and recommend corrective actions
- Prepare periodic compliance reports for executive leadership and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Active FINRA Series 63/65 or 66 licenses required
- Advanced knowledge of AML/BSA regulations and risk management frameworks
- Strong analytical skills with proficiency in compliance monitoring tools
- Excellent written/verbal communication and stakeholder management abilities