Job Description
Join our dynamic compliance team at Global Financial Services Inc. in Saint Paul, MN, where integrity meets innovation. We're seeking a meticulous Compliance Officer to safeguard our operations and uphold regulatory excellence in the financial services sector. Enjoy competitive compensation, comprehensive benefits, and a collaborative environment that values professional growth. Help us shape the future of compliance while making a tangible impact on our community.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (FINRA, SEC, etc.)
- Conduct risk assessments and internal audits to identify compliance gaps
- Train staff on regulatory requirements and ethical standards
- Investigate and resolve compliance violations with corrective action plans
- Prepare detailed reports for senior management and regulatory bodies
- Stay updated on evolving financial regulations and industry best practices
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Relevant certifications (CRCM, CAMS, CCEP) strongly preferred
- Proficiency with compliance software and data analysis tools
- Exceptional written/verbal communication and documentation skills
- Ability to interpret complex regulations and implement practical solutions