Job Description
Join our dynamic compliance team at Global Financial Solutions and make an immediate impact in the financial services industry. We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence and implement robust compliance frameworks. This urgent hire opportunity offers competitive compensation and the chance to shape our compliance culture in Portland's thriving business environment.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, state laws) to update compliance policies
- Conduct risk assessments and internal audits for financial products/services
- Develop and deliver compliance training programs for 100+ employees
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain compliance documentation
- Collaborate with legal and operations teams on compliance initiatives
- Stay current on AML, KYC, and anti-fraud regulations
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- FINRA Series 63/65/66 licenses required
- Proficiency with compliance software (e.g., OnBase, Compli)
- Strong analytical and problem-solving abilities
- Excellent written/verbal communication skills
- Ability to thrive in fast-paced, regulated environments
- Portland-based candidates preferred for immediate start