Job Description
Join our elite compliance team at Global Financial Solutions Inc. as a Compliance Officer in the heart of New York City. We provide all necessary equipment including ergonomic workstations, dual monitors, and specialized compliance software to ensure your success. This role offers hybrid work arrangements with 3 days in our state-of-the-art Manhattan office. You'll be instrumental in maintaining our regulatory excellence while enjoying competitive benefits and professional development opportunities.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct internal audits and risk assessments across financial products and services
- Monitor regulatory changes and update compliance policies accordingly
- Train staff on compliance protocols and ethical conduct standards
- Manage investigations of compliance violations and recommend corrective actions
- Prepare regulatory reports and maintain detailed compliance documentation
- Collaborate with legal, audit, and business units to ensure cohesive compliance strategy
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- FINRA Series 7, 63, and 24 certifications required
- Deep knowledge of federal and state financial regulations
- Strong analytical skills with attention to detail
- Experience with compliance software (e.g., Certent, Compliance.ai)
- Excellent written and verbal communication skills
- Certified Regulatory Compliance Manager (CRCM) certification preferred