Job Description
Join our dynamic team as an Immediate Hire Compliance Officer in Cincinnati! Global Financial Services Inc. is seeking a detail-oriented professional to ensure regulatory adherence and drive ethical practices across our operations. This critical role offers competitive compensation, comprehensive benefits, and the opportunity to make an immediate impact in a thriving financial hub. Apply today to start your career with an industry leader committed to excellence and integrity.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (SEC, FINRA, etc.)
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare detailed reports for senior management and regulatory bodies
- Train staff on compliance policies and regulatory updates
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal, audit, and business teams on compliance initiatives
- Stay current on regulatory changes (e.g., Dodd-Frank, AML laws)
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- CCEP (Certified Compliance & Ethics Professional) certification preferred
- Strong knowledge of SEC regulations and Ohio state laws
- Advanced analytical skills with attention to detail
- Exceptional written and verbal communication abilities
- Proficiency in compliance management software (e.g., OnBase, Fiserv)