Job Description
Join our dynamic team as a Compliance Officer in Austin, TX, and become a guardian of regulatory excellence! At Global Financial Services Inc., we're committed to maintaining the highest standards of integrity and adherence to financial regulations. This pivotal role ensures our organization operates within legal frameworks while fostering a culture of compliance innovation. You'll collaborate with cross-functional teams to implement robust compliance programs, conduct risk assessments, and drive continuous improvement in our compliance infrastructure. Enjoy a competitive salary package, comprehensive benefits, and the opportunity to make a tangible impact in the financial services sector.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (e.g., FINRA, SEC, OCC)
- Conduct regular risk assessments and internal audits to identify compliance vulnerabilities
- Investigate potential violations and recommend corrective actions with detailed documentation
- Train staff on compliance policies, procedures, and regulatory updates
- Stay current with evolving financial regulations and industry best practices
- Collaborate with legal and executive teams to ensure strategic compliance alignment
- Prepare comprehensive compliance reports for stakeholders and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Certifications (e.g., CRCM, CCEP, CAMS) strongly preferred
- Deep knowledge of financial regulations and compliance frameworks
- Exceptional analytical skills with attention to detail
- Strong written/verbal communication and presentation abilities
- Experience with compliance software (e.g., RSA Archer, LogicGate)
- Proven ability to work independently in a fast-paced environment