Job Description
Join our dynamic team at Global Financial Services Inc. as a Compliance Officer in Glendale, AZ! We're seeking a detail-oriented professional to ensure regulatory adherence and operational integrity in our fast-paced financial services environment. This role offers competitive compensation, comprehensive benefits, and opportunities for career growth in a supportive workplace culture.
Responsibilities
- Monitor regulatory changes and implement compliance policies across all business units
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed compliance reports for senior management and regulatory bodies
- Train staff on regulatory requirements and ethical standards
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field required
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and AML regulations
- Excellent analytical and problem-solving abilities
- Certified Regulatory Compliance Manager (CRCM) preferred
- Proficiency in compliance management software (e.g., OnBase, Compliance 360)