Job Description
Join our dynamic compliance team in Las Vegas and enjoy unprecedented flexibility in your work schedule! As a Compliance Officer at Global Financial Services, you'll play a critical role in safeguarding our organization's regulatory integrity while maintaining a healthy work-life balance. We offer remote/hybrid options with adaptable core hours to accommodate your personal commitments. Our collaborative environment values professional growth and recognizes compliance excellence with competitive compensation and benefits.
This role is perfect for experienced professionals seeking to leverage their expertise in a supportive, forward-thinking organization. If you're passionate about regulatory compliance and value flexibility in your career, we encourage you to apply today!
Responsibilities
- Develop, implement, and maintain comprehensive compliance programs aligned with federal regulations (SEC, FINRA) and internal policies
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Provide ongoing compliance training and guidance to staff across departments
- Investigate and resolve regulatory inquiries, audits, and enforcement actions
- Stay current on evolving regulatory changes and update compliance protocols accordingly
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Collaborate with legal and risk management teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services or regulated industry
- Strong knowledge of SEC, FINRA, and AML regulations
- Excellent analytical skills with attention to detail
- Ability to work independently with minimal supervision
- Strong written and verbal communication skills
- Relevant certifications (CRCM, CAMS, CCEP) highly valued
- Proficiency in compliance software and MS Office Suite