Job Description
Join our dynamic compliance team at Global Financial Services Inc. in Philadelphia, where we prioritize regulatory integrity and ethical business practices. As a Compliance Officer, you'll play a pivotal role in ensuring adherence to federal regulations (FINRA, SEC, CFTC) while fostering a culture of compliance excellence. We offer competitive benefits, professional development opportunities, and a collaborative work environment in the heart of Philadelphia's financial district.
Responsibilities
- Monitor and interpret regulatory changes to update compliance policies and procedures
- Conduct internal audits and risk assessments across business units
- Develop and deliver compliance training programs for employees
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal, risk, and business teams on compliance initiatives
- Prepare regulatory reports for FINRA, SEC, and other authorities
- Stay current on AML, BSA, and anti-fraud regulations
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Certification (CRCM, CAMS, or CCEP) preferred
- Strong knowledge of FINRA rules and SEC regulations
- Exceptional analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Proficient in compliance software (e.g., Actimize, NASD Suite)
- Ability to thrive in a fast-paced regulatory environment