Job Description
Join our dynamic compliance team in Tulsa and receive a competitive sign-on bonus! Global Financial Solutions Inc. is seeking a detail-oriented Compliance Officer to ensure regulatory adherence and mitigate risks in the financial services sector. This role offers career growth, comprehensive benefits, and a collaborative environment where your expertise directly impacts our success.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (e.g., FINRA, SEC)
- Conduct internal audits and risk assessments to identify compliance gaps
- Train staff on regulatory changes and compliance protocols
- Investigate and resolve compliance violations with corrective action plans
- Prepare regulatory reports and maintain documentation for audits
- Collaborate with legal and business teams on compliance initiatives
- Stay updated on industry regulations through continuous education
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- FINRA Series 65 or 63 certification required
- Strong knowledge of banking regulations (e.g., BSA/AML, Dodd-Frank)
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., LogicGate, ComplianceEase)
- Excellent written and verbal communication abilities