Job Description
Join our dynamic compliance team at Global Financial Solutions Inc. and play a pivotal role in ensuring regulatory adherence across our financial operations. As a Compliance Officer, you'll safeguard our organization against legal risks while fostering a culture of ethical conduct. We offer competitive compensation, comprehensive benefits, and growth opportunities in Buffalo's thriving financial district.
Responsibilities
- Monitor regulatory changes and implement compliance policies for financial transactions
- Conduct risk assessments and internal audits for AML/KYC procedures
- Prepare regulatory reports for FINRA, SEC, and NYDFS requirements
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and audit teams on compliance frameworks
- Maintain accurate documentation of compliance activities
Qualifications
- Bachelor's degree in Finance, Business, or related field required
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and NYDFS regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., MetricStream, ComplyAdvantage)
- Excellent written and verbal communication abilities