Job Description
Join our dynamic team at Global Financial Solutions Inc. as a Compliance Officer in Buffalo, NY. We're seeking a detail-oriented professional to ensure regulatory adherence and foster a culture of ethical practices. This pivotal role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Our Buffalo headquarters sits in the heart of a thriving financial hub, offering exceptional work-life balance and proximity to Lake Erie's scenic beauty. As a key member of our risk management division, you'll shape our compliance framework while making a tangible impact on our organization's integrity and success.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (FINRA, SEC, NYDFS)
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed regulatory reports and documentation for senior leadership
- Train staff on compliance policies and regulatory updates
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and audit teams on compliance initiatives
- Stay current with 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
- Strong knowledge of FINRA, SEC, and NYDFS regulations
- Excellent analytical and problem-solving skills
- Professional certifications (CRCM, CAMS, CCEP) highly valued
- Exceptional written communication and report-writing abilities
- Proficiency with compliance management software (e.g., Certent, Diligent)