Job Description
Join our dynamic compliance team in Buffalo and become a guardian of regulatory excellence! Global Financial Services Inc. seeks an immediate-hire Compliance Officer to ensure adherence to federal, state, and industry regulations. This critical role involves monitoring policy implementation, conducting risk assessments, and collaborating with cross-functional teams to maintain ethical standards. Enjoy competitive compensation, comprehensive benefits, and the opportunity to make an immediate impact in a thriving financial hub.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed regulatory reports and maintain accurate documentation
- Train staff on compliance policies and regulatory updates
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and audit teams on compliance initiatives
- Stay current on regulatory changes and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- FINRA Series 24 or 26 certification required
- Proficiency in compliance management software (e.g., RSA Archer, LogicGate)
- Strong analytical skills with attention to detail
- Excellent written/verbal communication and presentation skills
- Ability to prioritize tasks and meet deadlines in fast-paced environments
- Experience with NYDFS Part 500 regulations preferred