Job Description
Join Global Financial Partners as a Senior Compliance Officer and become a guardian of ethical excellence in Indianapolis' thriving financial district. We're seeking a strategic leader to navigate complex regulatory landscapes while driving innovation in compliance frameworks. Enjoy a competitive salary, comprehensive benefits, and opportunities for professional growth in a dynamic, forward-thinking environment.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits for financial products and services
- Advise senior leadership on regulatory changes impacting business operations
- Train staff on compliance protocols and ethical standards
- Manage regulatory reporting and documentation processes
- Collaborate with legal and audit teams to ensure adherence
- Lead investigations into potential compliance violations
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 7+ years of compliance experience in financial services
- FINRA Series 7, 24, and 63/66 certifications
- Deep knowledge of federal/state banking regulations
- Strong analytical and problem-solving abilities
- Exceptional communication and presentation skills
- Experience with compliance software (e.g., OnBase, MetricStream)