Job Description
Join our dynamic compliance team at Global Financial Services Inc. in Houston, TX, where you'll safeguard our organization against regulatory risks while driving ethical excellence. This pivotal role offers the opportunity to shape compliance frameworks in a fast-paced financial environment with competitive compensation and growth opportunities.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (SEC, FINRA, CFPB)
- Conduct risk assessments and internal audits to identify compliance gaps
- Provide regulatory guidance to stakeholders across trading, operations, and wealth management
- Prepare comprehensive reports for executive leadership and regulatory bodies
- Lead training initiatives to embed compliance culture organization-wide
- Stay updated on evolving financial regulations and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Strong knowledge of SEC, FINRA, and Texas state regulations
- Certifications (CRCM, CAMS, or CCEP) highly desirable
- Exceptional analytical and problem-solving abilities
- Proven experience with compliance monitoring tools (e.g., NICE Actimize, SAS)
- Excellent written/verbal communication skills with executive presence