Job Description
Join our award-winning compliance team at Global Financial Services Inc. in Louisville, KY! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence and mitigate risks across all operations. This role offers a competitive salary plus a generous sign-on bonus for qualified candidates. You'll collaborate with legal, audit, and business teams to develop robust compliance frameworks while staying ahead of evolving regulations. Enjoy a hybrid work model with comprehensive benefits including health insurance, 401(k) matching, and professional development opportunities. Be part of a company recognized for ethical excellence and innovation in financial services.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, state/federal laws) to ensure organizational compliance
- Conduct risk assessments and implement mitigation strategies for compliance gaps
- Develop, maintain, and update compliance policies/procedures with clear documentation
- Lead internal audits and compliance monitoring initiatives with actionable reporting
- Train employees on regulatory requirements and ethical standards
- Collaborate with legal counsel on regulatory investigations and enforcement actions
- Manage compliance reporting for senior leadership and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Strong knowledge of FINRA, SEC, and state/federal banking regulations
- Certification (CRCM, CAMS, or CCEP) required or must obtain within 12 months
- Experience with compliance software (e.g., Wolters Kluwer, MetricStream)
- Exceptional analytical skills with attention to detail
- Proven ability to communicate complex regulations to non-technical stakeholders
- Strong project management skills with ability to prioritize competing deadlines