Job Description
Join our elite compliance team at Global Financial Services Inc. in the heart of NYC. We're seeking a meticulous Compliance Officer to safeguard regulatory integrity while providing all necessary equipment for seamless remote and hybrid work. Enjoy competitive benefits, professional development, and a dynamic environment where your expertise drives our success.
Responsibilities
- Monitor regulatory changes and implement updated compliance protocols
- Conduct internal audits and risk assessments across financial operations
- Develop training programs for staff on compliance procedures
- Investigate potential violations and prepare detailed incident reports
- Liaise with regulatory bodies including NYDFS and SEC
- Maintain digital and physical compliance documentation systems
- Lead cross-functional compliance initiatives with all departments
Qualifications
- Bachelor's degree in Finance, Law, or related field required
- 5+ years compliance experience in financial services
- Strong knowledge of NYDFS, SEC, and FINRA regulations
- Advanced proficiency in compliance software and reporting tools
- Excellent analytical and investigative skills
- Certifications (CRCM, CAMS, or CCEP) preferred
- Exceptional written and verbal communication abilities