Job Description
Join our dynamic team at Global Financial Services Inc. as a Compliance Officer in Minneapolis! We're urgently seeking a detail-oriented professional to ensure regulatory adherence across all operations. This high-impact role offers competitive compensation, comprehensive benefits, and the opportunity to shape our compliance framework in a rapidly evolving financial landscape. Apply today to become a key guardian of our ethical standards and regulatory compliance.
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
- Investigate potential violations and recommend corrective actions
- Train staff on regulatory requirements and ethical standards
- Stay current on regulatory changes and update policies accordingly
- Collaborate with legal and senior leadership on compliance strategies
- Prepare detailed compliance reports for regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 24, 26, or 27 certification required
- Proficiency with compliance software (e.g., ComplianceEase, Affinity)
- Strong analytical and investigative skills
- Excellent written/verbal communication abilities
- Experience with AML, KYC, and anti-fraud protocols
- Ability to thrive in a fast-paced, deadline-driven environment