Job Description
Join our dynamic compliance team at Global Financial Services Inc. in Louisville, KY. As a Compliance Officer, you'll safeguard our operations by ensuring adherence to federal regulations, industry standards, and internal policies. We offer a collaborative environment where your expertise in regulatory affairs will drive our commitment to ethical business practices and risk mitigation. Enjoy competitive benefits, professional development opportunities, and the chance to make a tangible impact in the financial services sector.
Responsibilities
- Monitor regulatory changes (e.g., SEC, FINRA, CFPB) and implement updated compliance protocols
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and maintain comprehensive compliance documentation and training materials
- Collaborate with legal, operations, and audit teams to resolve compliance issues
- Lead investigations into potential violations and prepare remediation plans
- Ensure adherence to AML/KYC requirements and anti-fraud procedures
- Report compliance metrics to senior leadership and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of banking regulations (e.g., Reg E, Reg Z, BSA/AML)
- Certified Regulatory Compliance Manager (CRCM) or equivalent preferred
- Exceptional analytical and problem-solving skills
- Proficiency with compliance software (e.g., MetricStream, Convercent)
- Excellent written and verbal communication abilities
- Ability to manage multiple priorities in a fast-paced environment