Job Description
Join our dynamic compliance team at Global Financial Services Inc., where we champion regulatory integrity with flexible scheduling! We're seeking a meticulous Compliance Officer to safeguard our operations while accommodating your work-life balance. This hybrid role (office/remote) offers the perfect blend of professional growth and personal flexibility in Chandler's thriving business corridor. You'll be pivotal in maintaining our industry-leading compliance standards while enjoying a schedule that adapts to your needs.
Responsibilities
- Monitor and enforce adherence to federal/state regulations (FINRA, SEC, AML)
- Conduct risk assessments and implement compliance controls
- Develop/update compliance policies and training materials
- Lead internal audits and regulatory examinations
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and business units on compliance initiatives
- Stay current on regulatory changes through continuous research
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- FINRA Series 24 or 27 certification preferred
- Expert knowledge of federal/state compliance regulations
- Strong analytical and problem-solving abilities
- Exceptional communication and documentation skills
- Proficiency in compliance management software (e.g., ComplySci)
- Ability to work independently with flexible hours