Job Description
Join our dynamic team as a Compliance Officer in Kansas City, MO, and enjoy the benefit of weekly pay! At Global Financial Solutions Inc., we're committed to fostering a culture of integrity and regulatory excellence. You'll play a pivotal role in ensuring our operations adhere to federal and state regulations while protecting our clients' interests. This is a unique opportunity to advance your career in compliance with competitive compensation and immediate financial rewards.
Responsibilities
- Monitor and enforce compliance with FINRA, SEC, and state regulatory requirements
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and implement compliance policies, procedures, and training programs
- Investigate potential violations and recommend corrective actions
- Liaise with legal, audit, and business units to resolve compliance issues
- Prepare and submit regulatory reports to ensure timely filing
- Stay updated on regulatory changes and advise stakeholders of implications
Qualifications
- Bachelor's degree in Finance, Business, or related field required
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA rules and SEC regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving skills
- Proficiency with compliance software (e.g., ComplySci, Adenza)
- Excellent written and verbal communication abilities
- Ability to manage multiple deadlines in a fast-paced environment