Job Description
Join our dynamic compliance team at Global Financial Services Inc. in Boston's Financial District. We're seeking a meticulous Compliance Officer to safeguard regulatory integrity while driving business growth. This hybrid role offers competitive compensation, comprehensive benefits, and clear pathways for advancement in a Fortune 500 environment.
As a key member of our Risk Management Division, you'll collaborate with legal, operations, and executive teams to ensure adherence to FINRA, SEC, and state regulations. Our culture emphasizes continuous learning – we provide $5,000 annually for certifications and leadership development programs.
Responsibilities
- Develop and implement compliance monitoring systems for securities transactions
- Conduct internal audits and regulatory examinations with actionable remediation plans
- Advise senior leadership on emerging regulatory changes (e.g., MiFID II, Dodd-Frank)
- Train staff on AML protocols, KYC procedures, and ethical conduct standards
- Prepare comprehensive reports for regulators and Board committees
- Lead cross-departmental initiatives to embed compliance into business processes
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services with FINRA Series 7/63 licenses
- Expertise in regulatory frameworks (SEC, FINRA, OCC) and risk assessment methodologies
- Advanced proficiency in compliance software (e.g., Nasdaq, Bloomberg Compliance Suite)
- Certification (CRCM, CAMS, or CCEP) strongly preferred
- Exceptional analytical skills with attention to detail
- Strong written/verbal communication for stakeholder presentations