Job Description
Join our dynamic team at Global Financial Services Inc. as a Compliance Officer in Philadelphia, PA. We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in a fast-paced financial environment. This immediate hire opportunity offers competitive compensation and career growth within a forward-thinking organization. If you're passionate about compliance excellence and ready to make an immediate impact, apply today!
Responsibilities
- Monitor regulatory changes and implement compliance policies
- Conduct internal audits and risk assessments
- Train staff on compliance procedures and regulations
- Investigate and resolve compliance violations
- Prepare regulatory reports and maintain documentation
- Collaborate with legal and executive teams
- Ensure adherence to FINRA, SEC, and state regulations
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- FINRA Series 24 or 27 certification preferred
- Strong knowledge of federal/state regulations
- Excellent analytical and communication skills
- Ability to work independently and manage deadlines
- Proficiency in compliance software (e.g., ComplianceEase)