Job Description
Join our dynamic team as a Part-Time Compliance Officer and play a pivotal role in maintaining regulatory excellence at Global Financial Services. We're seeking a detail-oriented professional to ensure our operations adhere to federal and state regulations while fostering a culture of integrity and accountability. This flexible position offers the perfect opportunity for experienced compliance professionals seeking work-life balance without compromising impact.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, OCC, Ohio state laws) to ensure ongoing compliance
- Conduct risk assessments and internal audits for lending, investment, and data privacy operations
- Develop and implement compliance policies, procedures, and training programs
- Investigate potential compliance violations and recommend corrective actions
- Prepare comprehensive compliance reports for senior leadership and regulatory bodies
- Collaborate with legal, audit, and business units to embed compliance controls
- Maintain accurate compliance documentation and audit trails
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (or equivalent experience)
- 3+ years of compliance/regulatory experience in financial services
- Knowledge of FINRA Series 63/65/66 or equivalent regulatory certifications
- Proficiency with compliance software (e.g., Compliance.ai, LogicGate)
- Exceptional analytical skills with attention to detail
- Strong written/verbal communication and presentation abilities
- Ability to work independently with minimal supervision
- Experience with AML/BSA and consumer protection regulations preferred