Job Description
Join our dynamic compliance team at Global Financial Services Inc. in Memphis, TN! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence across all operations. This pivotal role combines financial expertise with risk management to safeguard our organization and clients. Enjoy a collaborative environment with growth opportunities and comprehensive benefits.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, state laws)
- Conduct internal audits and compliance reviews
- Develop/implement compliance policies and procedures
- Train staff on compliance requirements and best practices
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for senior leadership
- Collaborate with legal and risk management departments
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/regulatory experience in financial services
- Strong knowledge of FINRA/SEC regulations
- Excellent analytical and problem-solving abilities
- Certification (CRCM, CAMS, or CCEP) preferred
- Advanced proficiency in MS Office and compliance software
- Exceptional communication and documentation skills