Job Description
Join our dynamic team at Global Financial Solutions Inc. as a Compliance Officer and become a guardian of regulatory excellence in Raleigh's thriving financial sector. We're seeking a proactive professional to design, implement, and monitor compliance programs that mitigate risk while driving business growth. Enjoy a collaborative environment with competitive benefits and opportunities for professional development in a company committed to integrity and innovation.
Responsibilities
- Develop and maintain comprehensive compliance programs aligned with federal (SEC, FINRA, CFPB) and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare regulatory filings and manage documentation requirements
- Train staff on compliance policies and regulatory changes
- Investigate potential violations and recommend corrective actions
- Stay current on evolving regulatory landscape in financial services
- Collaborate with legal and executive teams on compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services or regulated industry
- Certifications (CRCM, CAMS, or CCEP) strongly preferred
- Deep knowledge of SEC, FINRA, and NC banking regulations
- Exceptional analytical and risk assessment skills
- Proven ability to communicate complex regulations to non-technical teams
- Experience with compliance software and reporting tools
- Strong attention to detail and ethical decision-making abilities