Job Description
Join our dynamic compliance team at Global Financial Services Inc. and play a critical role in safeguarding our organization's integrity. As a Compliance Officer in Richmond, VA, you'll ensure adherence to federal regulations, implement robust compliance frameworks, and drive ethical business practices across all departments. We offer a collaborative environment where your expertise will directly impact our success and regulatory standing.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Provide comprehensive compliance training to employees across all levels
- Investigate and resolve regulatory inquiries and enforcement actions
- Maintain accurate documentation of compliance policies and procedures
- Collaborate with legal and executive teams on regulatory changes
- Lead incident response and remediation efforts for compliance breaches
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 Virginia state regulations
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Excellent analytical and problem-solving skills
- Exceptional communication and presentation abilities
- Proficiency with compliance management software (e.g., MetricStream, Navex)
- Ability to thrive in a fast-paced, regulated environment