Job Description
Join our dynamic compliance team and make an immediate impact! Global Financial Services Inc. is seeking a highly motivated Compliance Officer to start tomorrow in Lexington, KY. As a key member of our regulatory affairs department, you'll ensure adherence to federal, state, and industry regulations while driving ethical business practices. Enjoy competitive compensation, comprehensive benefits, and a supportive culture that values professional growth. Apply today and start your new career tomorrow!
Responsibilities
- Monitor regulatory changes and update compliance policies accordingly
- Conduct internal audits and risk assessments to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Develop and deliver compliance training programs for staff
- Prepare detailed compliance reports for senior leadership
- Collaborate with legal and operations teams to ensure regulatory alignment
- Maintain accurate documentation of compliance activities
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance/regulatory experience
- Strong knowledge of FINRA, SEC, and state regulations
- Excellent analytical and problem-solving skills
- Professional certification (CRCM, CAMS, or CCEP) preferred
- Proficiency in compliance software and Microsoft Office Suite
- Exceptional written and verbal communication abilities
- Ability to work independently with minimal supervision