Job Description
Join our award-winning financial institution as a Compliance Officer and become a guardian of regulatory excellence. At Global Financial Solutions Inc., we're seeking a detail-driven professional to ensure adherence to federal regulations, internal policies, and industry standards. This pivotal role offers the opportunity to shape compliance frameworks while working with cross-functional teams in our dynamic Houston headquarters. Enjoy competitive benefits, professional development opportunities, and a collaborative environment that values integrity and innovation.
Responsibilities
- Develop, implement, and maintain comprehensive compliance programs aligned with FINRA, SEC, and state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and provide actionable guidance to business units
- Investigate and resolve compliance violations, preparing detailed reports for leadership
- Deliver targeted compliance training to staff across all departments
- Collaborate with legal, audit, and risk management teams on compliance initiatives
- Prepare and submit required regulatory reports and disclosures
Qualifications
- Bachelor's degree in Finance, Business Administration, Law, or related field
- 5+ years of compliance experience in financial services or regulated industry
- Strong knowledge of federal/state regulations (AML, BSA, Dodd-Frank)
- Certified Compliance & Ethics Professional (CCEP) designation preferred
- Exceptional analytical skills with attention to detail
- Advanced proficiency in compliance software and MS Office Suite
- Proven ability to interpret complex regulations and communicate clearly
- Experience managing compliance audits and regulatory examinations