Job Description
Join our dynamic compliance team at Global Financial Services Inc. and make a tangible impact on regulatory integrity. We're seeking a meticulous Compliance Officer to navigate complex financial regulations while safeguarding our operations. This role offers a competitive sign-on bonus to attract top-tier talent passionate about ethical finance. You'll collaborate with cross-functional teams to implement robust compliance frameworks and stay ahead of evolving regulatory landscapes. Our Houston office offers a collaborative environment with career growth opportunities and comprehensive benefits.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal/state regulations (FINRA, SEC, OCC)
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance requirements and ethical practices
- Investigate potential violations and recommend corrective actions
- Liaise with regulatory bodies during examinations
- Prepare detailed compliance reports for executive leadership
Qualifications
- Bachelor's degree in Finance, Law, or related field (MBA/JD preferred)
- 5+ years compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Deep knowledge of banking regulations and AML/BSA requirements
- Strong analytical skills with attention to detail
- Experience with compliance software (e.g., OnBase, Wolters Kluwer)
- Exceptional communication and presentation skills