Job Description
Join our dynamic team as a Compliance Officer at Global Financial Solutions Inc. in Richmond, VA. You'll be instrumental in ensuring regulatory adherence, mitigating risks, and fostering a culture of compliance excellence. This role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a thriving financial hub.
Responsibilities
- Monitor regulatory changes (FINRA, SEC, state laws) and implement compliance policies
- Conduct internal audits and risk assessments across financial operations
- Develop/maintain compliance documentation and training programs
- Investigate and resolve compliance violations with corrective actions
- Collaborate with legal, audit, and business teams on compliance initiatives
- Prepare regulatory reports and respond to examiner inquiries
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services
- FINRA Series 63/65/66 licenses required
- Strong knowledge of federal/state regulations
- Advanced analytical and problem-solving skills
- Excellent written/verbal communication abilities
- Experience with compliance management software