Job Description
Join our dynamic compliance team at Global Financial Services Inc., a leader in financial services based in Memphis, TN. We're seeking a dedicated Compliance Officer to ensure regulatory adherence, mitigate risks, and maintain ethical standards across all operations. This pivotal role offers the opportunity to shape our compliance framework while making a tangible impact on our organization's integrity and success.
Responsibilities
- Develop, implement, and monitor compliance policies aligned with federal/state regulations (e.g., FINRA, SEC, AML)
- Conduct thorough internal audits and risk assessments to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Provide regulatory training to staff and maintain compliance documentation
- Collaborate with legal and executive teams on compliance strategies
- Stay updated on evolving regulatory changes and adapt policies accordingly
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance/regulatory experience in financial services
- Certification (CRCM, CAMS, or CCEP) preferred
- Strong analytical skills with attention to detail
- Excellent written/verbal communication abilities
- Proficiency in compliance software (e.g., Fiserv, Oracle GRC)
- Ability to thrive in a fast-paced, regulated environment