Job Description
Join our elite compliance team at Global Financial Solutions Inc. where we equip you for success! We provide state-of-the-art monitoring tools, secure workstations, and all necessary technology to excel in this critical role. As a Compliance Officer, you'll safeguard our organization against regulatory risks while advancing your career in one of the world's financial capitals.
Why Join Us? We invest in our talent with premium equipment, comprehensive training, and a dynamic work environment. Enjoy competitive benefits, career advancement opportunities, and the satisfaction of protecting our clients' interests in a rapidly evolving regulatory landscape.
Responsibilities
- Develop and implement robust compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct thorough risk assessments and internal audits using provided advanced monitoring software
- Investigate potential violations and prepare detailed regulatory reports
- Train staff on compliance policies using our interactive learning management system
- Stay current on regulatory changes through our curated compliance intelligence platform
- Collaborate with legal and senior leadership on compliance strategy
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7, 24, or 63/66 certifications required
- Expertise in regulatory reporting and risk management frameworks
- Proficiency with compliance software (e.g., Smartsheet, Compliance.ai)
- Strong analytical and investigative skills
- Excellent communication and stakeholder management abilities