Job Description
Join our dynamic compliance team at Global Financial Services Inc. and become a guardian of regulatory integrity in Buffalo's thriving financial sector. We seek a detail-oriented Compliance Officer to ensure adherence to federal, state, and industry regulations while fostering a culture of ethical conduct. This immediate hire opportunity offers competitive compensation and the chance to make a tangible impact in a growing organization.
Responsibilities
- Monitor regulatory changes and update compliance policies/procedures accordingly
- Conduct internal audits and risk assessments across financial operations
- Investigate potential compliance violations and implement corrective actions
- Train staff on regulatory requirements and ethical standards
- Prepare detailed compliance reports for senior leadership and regulatory bodies
- Collaborate with legal and audit teams on compliance initiatives
- Manage compliance documentation and record-keeping systems
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and NYDFS regulations
- Excellent analytical and problem-solving abilities
- Professional certifications (CRCM, CAMS) preferred
- Proficient in compliance management software
- Exceptional written and verbal communication skills
- Ability to thrive in a fast-paced, regulated environment