Job Description
Join our dynamic compliance team in Raleigh, NC and make a meaningful impact! Global Financial Solutions Inc. is seeking a detail-oriented Compliance Officer to ensure regulatory adherence and mitigate risks. We're offering a $10,000 sign-on bonus for qualified candidates who start before December 31st. Enjoy competitive benefits, professional growth opportunities, and the chance to work in one of America's fastest-growing tech hubs. Apply today to elevate your career in financial compliance!
Responsibilities
- Monitor regulatory changes (FINRA, SEC, OCC) and implement compliance protocols
- Conduct internal audits and risk assessments for financial products
- Develop training programs for staff on compliance policies
- Investigate potential violations and prepare regulatory reports
- Collaborate with legal and audit teams on compliance initiatives
- Document compliance procedures and maintain audit trails
- Advise senior leadership on regulatory risks and mitigation strategies
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7, 63, and 24 licenses required
- Expert knowledge of federal/state banking regulations
- Strong analytical and problem-solving skills
- Experience with compliance software (e.g., NASD, Bloomberg)
- Excellent written/verbal communication abilities
- Ability to manage multiple deadlines in a fast-paced environment