Job Description
Join our dynamic team at Global Financial Solutions Inc. as a Compliance Officer in Richmond, VA. You'll be instrumental in safeguarding our organization's integrity while enjoying a competitive salary and comprehensive benefits package. We offer a collaborative environment where your expertise in regulatory compliance makes a tangible impact.
Responsibilities
- Monitor and ensure adherence to federal, state, and local regulations (FINRA, SEC, AML)
- Develop and implement compliance policies and procedures
- Conduct internal audits and risk assessments
- Prepare regulatory filings and management reports
- Train staff on compliance requirements and ethical standards
- Investigate potential violations and recommend corrective actions
- Stay current on evolving regulatory landscapes
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving skills
- Proficient in compliance management software
- Excellent written and verbal communication abilities