Job Description
Join our elite compliance team at Global Financial Solutions Inc. and become a guardian of regulatory excellence in one of America's fastest-growing financial hubs. We're seeking a seasoned Compliance Officer to implement robust frameworks that protect our clients and our reputation in an ever-evolving regulatory landscape. This premium role offers unparalleled career growth and industry-leading compensation.
As a cornerstone of our risk management division, you'll shape compliance strategies that drive ethical business practices while ensuring adherence to federal and state regulations. Our dynamic Plano headquarters offers state-of-the-art facilities, flexible work arrangements, and a culture that values integrity and innovation.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with FINRA, SEC, and OCC regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and executive teams on compliance strategy
- Prepare regulatory reports and disclosures for federal agencies
Qualifications
- Bachelor's degree in Finance, Law, or related field (MBA/JD preferred)
- 7+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or equivalent designation
- Deep expertise in AML, BSA, and Dodd-Frank regulations
- Proven track record of developing compliance frameworks
- Exceptional analytical and investigative skills
- Strong communication abilities for regulatory reporting
- Experience with compliance management software (e.g., MetricStream)