Job Description
Join our dynamic team at Global Financial Solutions Inc. as a Compliance Officer in Richmond, VA! We're seeking a detail-oriented professional to safeguard our organization's integrity and ensure adherence to regulatory standards. This is your opportunity to make a tangible impact in a thriving financial hub while enjoying competitive compensation and comprehensive benefits.
Why Join Us?
- Collaborative work environment with career advancement opportunities
- Competitive salary plus performance bonuses
- Comprehensive health, dental, and vision benefits
- 401(k) with company match
- Professional development stipend
Responsibilities
- Develop, implement, and monitor compliance programs to align with federal/state regulations (FINRA, SEC, VA state laws)
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Provide compliance training to staff across all departments
- Stay updated on regulatory changes and communicate implications to stakeholders
- Maintain accurate documentation of compliance activities and policies
- Collaborate with legal and executive teams on compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA regulations and SEC guidelines
- Relevant certifications (CRCM, CAMS, or CCEP) preferred
- Exceptional analytical and problem-solving skills
- Proficiency with compliance software and MS Office Suite
- Excellent written and verbal communication skills
- Ability to handle confidential information with discretion