Job Description
Join our dynamic team at Global Financial Solutions Inc. as a Compliance Officer in the vibrant city of New Orleans! We're seeking a detail-oriented professional to ensure regulatory adherence and foster a culture of compliance excellence. This hybrid role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal regulations (e.g., FINRA, SEC, AML)
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Investigate and resolve regulatory violations with corrective action plans
- Provide compliance training to staff across all departments
- Stay updated on regulatory changes and update policies accordingly
- Collaborate with legal and executive teams on compliance strategies
- Prepare detailed compliance reports for regulatory bodies and senior management
Qualifications
- Bachelor's degree in Finance, Law, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or banking
- Certified Compliance & Ethics Professional (CCEP) designation required
- Deep knowledge of FINRA, SEC, and AML regulations
- Strong analytical skills with attention to detail
- Experience with compliance management software (e.g., ComplyAdvantage, Thomson Reuters)
- Excellent communication skills for training and reporting
- Ability to thrive in fast-paced, regulated environments