Job Description
Join our dynamic compliance team at Global Financial Services Inc. in Louisville, KY! We're seeking a detail-oriented Compliance Officer to safeguard our organization against regulatory risks and ensure adherence to federal and state regulations. This role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a thriving financial hub.
Responsibilities
- Monitor regulatory changes and implement compliance policies across all business units
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and deliver compliance training programs for staff at all levels
- Investigate potential violations and recommend corrective actions
- Liaise with regulatory bodies during examinations and audits
- Maintain accurate compliance documentation and reporting systems
Qualifications
- Bachelor's degree in Finance, Business, or related field required
- 3+ years of compliance experience in financial services
- Knowledge of FINRA, SEC, and KYC/AML regulations
- Strong analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Professional certification (CRCM, CAMS, or CCEP) preferred