Job Description
Join our dynamic team at Global Financial Services as a Compliance Officer in Denver, CO. You will be instrumental in ensuring regulatory adherence and fostering a culture of compliance excellence. This role offers competitive compensation, comprehensive benefits, and growth opportunities in a thriving financial hub.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal regulations (FINRA, SEC, CFTC)
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies accordingly
- Train staff on compliance protocols and regulatory requirements
- Investigate potential violations and recommend corrective actions
- Liaise with legal counsel and regulatory bodies during examinations
- Prepare detailed compliance reports for senior leadership
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Certification (CRCM, CAMS, or CCEP) required
- Deep knowledge of FINRA, SEC, and state regulations
- Strong analytical and problem-solving skills
- Excellent written and verbal communication abilities
- Proficiency with compliance software (e.g., OnBase, Diligent)
- Ability to thrive in a fast-paced, regulated environment