Job Description
Join our dynamic team at Global Financial Solutions Inc. as a Compliance Officer in the heart of New York City. We're urgently seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. This premium role offers competitive compensation, comprehensive benefits, and the opportunity to shape our compliance framework in a growing organization. Apply today and make an immediate impact!
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct thorough internal audits and risk assessments to identify compliance gaps
- Prepare detailed regulatory reports and documentation for stakeholders
- Train staff on compliance policies and regulatory updates
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and senior leadership on compliance strategy
- Stay current on evolving financial regulations and industry best practices
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 24 or 27 certification required
- Deep knowledge of NYDFS regulations and federal financial laws
- Strong analytical skills with attention to detail
- Experience with compliance software and data analysis tools
- Exceptional communication and stakeholder management abilities