Job Description
Join our dynamic team as a Part-Time Compliance Officer at Global Financial Services Inc. in Miami. This pivotal role ensures adherence to federal, state, and industry regulations while safeguarding our organization's integrity. You'll collaborate with cross-functional teams to implement compliance frameworks, conduct risk assessments, and maintain audit trails. Enjoy flexible hours while making a significant impact in a fast-paced financial environment.
Responsibilities
- Monitor regulatory changes and update internal compliance policies accordingly
- Conduct routine audits and investigations to ensure adherence to FINRA, SEC, and AML regulations
- Prepare and submit compliance reports to senior leadership and regulatory bodies
- Develop and deliver employee training programs on compliance protocols
- Manage documentation and maintain accurate compliance records
- Investigate potential violations and recommend corrective actions
- Stay current with evolving financial regulations and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and AML/BSA requirements
- Excellent analytical skills and attention to detail
- Proficiency with compliance software and MS Office Suite
- Strong written and verbal communication skills
- Ability to work independently with minimal supervision
- Certified Compliance & Ethics Professional (CCEP) preferred