Job Description
Join our dynamic compliance team at Global Financial Services Inc. in Buffalo, NY, where integrity meets innovation. As a Compliance Officer, you'll safeguard our operations by ensuring adherence to federal regulations, industry standards, and internal policies. Enjoy a collaborative environment with competitive benefits and career growth opportunities in the heart of Western New York.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, NYDFS) to update compliance protocols
- Conduct internal audits and risk assessments across banking operations
- Develop training programs for staff on compliance procedures and ethical conduct
- Investigate potential violations and implement corrective action plans
- Prepare detailed compliance reports for senior leadership and regulatory bodies
- Liaise with legal counsel to address regulatory inquiries and examinations
- Lead AML/KYC program implementation and monitoring
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) preferred
- Proficiency with compliance software (e.g., ComplyAdvantage, NASD tools)
- Deep understanding of banking regulations (Dodd-Frank, BSA/AML)
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills
- Ability to manage multiple projects under tight deadlines