Job Description
Join our dynamic compliance team and start your career tomorrow! Global Financial Services Inc. is seeking a detail-oriented Compliance Officer to ensure regulatory adherence and mitigate risks. This is your opportunity to make an immediate impact in a fast-paced financial environment with competitive benefits and growth potential. Apply today to begin your journey with industry leaders!
Responsibilities
- Monitor regulatory changes and update compliance policies accordingly
- Conduct internal audits to ensure adherence to FINRA/SEC regulations
- Investigate potential compliance breaches and recommend corrective actions
- Develop and deliver compliance training programs to staff
- Prepare detailed compliance reports for senior management
- Collaborate with legal and risk departments on compliance initiatives
- Maintain accurate compliance documentation and records
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- FINRA Series 24, 26, or 27 certifications required
- Strong knowledge of federal/state banking regulations
- Proficiency with compliance management software (e.g., Certent, LogicGate)
- Exceptional analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Ability to prioritize tasks in a high-pressure environment