Job Description
Join our dynamic team at Global Financial Services Inc. as a Compliance Officer and become a guardian of ethical excellence. We're seeking a meticulous professional to navigate complex regulatory landscapes and ensure our operations align with industry standards. Enjoy competitive benefits, professional growth opportunities, and the chance to make a tangible impact in a thriving financial hub. If you're passionate about safeguarding organizational integrity and driving compliance innovation, we want to hear from you!
Responsibilities
- Develop, implement, and monitor compliance programs adhering to federal/state regulations (e.g., FINRA, SEC)
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare detailed regulatory reports and documentation for management review
- Train employees on compliance policies and ethical standards
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and executive teams on regulatory changes
- Maintain compliance databases and ensure accurate record-keeping
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Certification (CRCM, CAMS, or CCEP) preferred
- Expert knowledge of FINRA/SEC regulations and AML/BSA requirements
- Strong analytical skills with attention to detail
- Excellent written/verbal communication abilities
- Proficient in compliance software (e.g., RSA Archer, LogicGate)