Job Description
Join our elite compliance team in the heart of Los Angeles! Global Financial Solutions Inc. is seeking a detail-oriented Compliance Officer to safeguard our operations against regulatory risks. Sign-on bonus up to $15,000 for exceptional candidates! Enjoy competitive benefits, career growth, and the opportunity to shape compliance strategy in a dynamic financial environment.
Why Apply? • Industry-leading compensation • Hybrid work options • Comprehensive professional development • Direct impact on regulatory frameworks • Collaborative culture with industry experts
Responsibilities
- Monitor regulatory changes (SEC, FINRA, CFTC) and implement compliance protocols
- Conduct internal audits and risk assessments across all business units
- Develop and maintain compliance policies, procedures, and training programs
- Investigate potential violations and recommend corrective actions
- Liaise with regulators during examinations and audits
- Provide real-time compliance guidance to trading, operations, and client teams
- Lead AML/BSA monitoring investigations and reporting
Qualifications
- Bachelor's degree in Finance, Law, or related field; advanced degree preferred
- 5+ years compliance experience in financial services or fintech
- FINRA Series 7, 24, 27, or 53 certifications required
- Deep knowledge of federal/state regulations (Dodd-Frank, CA AB-1825)
- Expertise in AML/BSA, KYC, and sanctions screening protocols
- Strong analytical skills with proficiency in compliance software (e.g., Nasdaq, Actimize)
- Exceptional written/verbal communication and presentation abilities
- Proven track record of regulatory examination success