Job Description
Join our award-winning team at Global Financial Services Inc. as a Compliance Officer in Richmond, VA. We're seeking a detail-oriented professional to safeguard our regulatory integrity while driving ethical business practices. Enjoy competitive compensation, comprehensive benefits, and career advancement opportunities in a dynamic financial services environment. Hiring now!
Responsibilities
- Develop and implement compliance policies aligned with federal/state regulations (FINRA, SEC, AML)
- Conduct internal audits and risk assessments to identify compliance gaps
- Monitor regulatory changes and update procedures accordingly
- Train staff on compliance protocols and ethical standards
- Investigate and resolve compliance violations with corrective action plans
- Prepare detailed reports for executive leadership and regulatory bodies
- Collaborate with legal, risk, and operations departments
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services
- CRCM, CAMS, or CCEP certification required
- Expert knowledge of FINRA/SEC regulations
- Advanced analytical and problem-solving skills
- Strong written/verbal communication abilities
- Experience with GRC software (e.g., RSA Archer, LogicGate)