Job Description
Join our award-winning compliance team in Memphis and earn a competitive sign-on bonus! As a Compliance Officer, you'll safeguard our organization against regulatory risks while driving ethical excellence in a dynamic financial services environment. We offer industry-leading benefits, professional development opportunities, and a collaborative culture that values integrity and innovation.
Global Financial Solutions Inc. is a top-tier financial institution committed to regulatory excellence and community impact. Our Memphis hub serves as a critical compliance center for the Southeast region, offering unparalleled career growth in a thriving market.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal (SEC, FINRA) and state regulations
- Conduct risk assessments and internal audits to identify compliance vulnerabilities
- Provide comprehensive regulatory training to staff across all departments
- Investigate and resolve compliance breaches with detailed documentation
- Collaborate with legal and executive teams on regulatory policy updates
- Manage regulatory reporting requirements for SEC and FINRA filings
- Stay current on evolving financial regulations through continuous research
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- FINRA Series 63, 65, or 86/87 licenses required
- Proficiency with compliance software (e.g., Certent, OnBase)
- Strong analytical skills with attention to regulatory detail
- Excellent communication abilities for training and reporting
- Experience with AML and KYC regulatory frameworks
- Certified Regulatory Compliance Manager (CRCM) certification preferred