Job Description
Join Global Financial Solutions Inc., a premier financial services firm in Houston, TX, as a Compliance Officer. We're seeking a detail-oriented professional to start immediately and ensure regulatory excellence. This role offers competitive compensation and career growth in a dynamic environment.
You'll safeguard our organization by developing compliance frameworks, conducting risk assessments, and staying ahead of evolving regulations. Perfect for candidates ready to make an immediate impact in the heart of Houston's thriving financial district.
Responsibilities
- Monitor and ensure adherence to federal, state, and industry regulations (SEC, FINRA, etc.)
- Develop, implement, and maintain compliance policies and procedures
- Conduct internal audits and risk assessments to identify compliance gaps
- Provide staff training on regulatory requirements and ethical standards
- Investigate and resolve compliance violations with corrective action plans
- Stay updated on regulatory changes and advise leadership on implications
- Prepare detailed compliance reports for stakeholders and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and Texas state laws
- Professional certification (CCEP, CAMS) preferred
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., RSA Archer, LogicGate)
- Ability to work independently with minimal supervision