Job Description
Join our dynamic team at Global Financial Solutions Inc. as a Part-Time Compliance Officer in Buffalo, NY. We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our financial services operations. This flexible position offers the opportunity to make a significant impact while maintaining work-life balance.
Why Join Us? Competitive hourly pay, comprehensive training, and a collaborative environment focused on professional growth. Perfect for experienced professionals seeking part-time flexibility.
Responsibilities
- Monitor and enforce compliance with federal regulations (FINRA, SEC, NYDFS) and internal policies
- Conduct risk assessments and internal audits for financial products and services
- Develop/update compliance documentation and training materials
- Investigate and resolve client complaints and regulatory inquiries
- Collaborate with legal and operations teams on compliance initiatives
- Prepare detailed reports for senior management and regulatory bodies
- Stay current on industry regulations through continuous research
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- Minimum 3 years of compliance/regulatory experience in financial services
- Strong knowledge of FINRA, SEC, and NYDFS regulations
- Excellent analytical and problem-solving abilities
- Proficiency in compliance software (e.g., Compliance.ai, LogicGate)
- Certifications preferred (CRCM, CCEP, or CAMS)
- Exceptional written communication and documentation skills
- Ability to work independently with minimal supervision