Job Description
Join our award-winning compliance team at Global Financial Partners Inc. in Chandler, AZ! We seek a detail-driven Senior Compliance Officer to safeguard our operations in the dynamic financial services sector. This high-impact role offers competitive compensation, comprehensive benefits, and opportunities for career advancement in a rapidly growing company.
Responsibilities
- Develop and implement compliance programs aligned with federal regulations (SEC, FINRA, CFTC)
- Conduct risk assessments and internal audits for financial products
- Monitor regulatory changes and update policies accordingly
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and remediation plans
- Liaise with regulators during examinations and inquiries
- Manage compliance reporting to executive leadership
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 63/65/66 certifications required
- Expertise in AML, KYC, and anti-fraud regulations
- Strong analytical and problem-solving abilities
- Experience with compliance software (e.g., OnBase, Smartsheet)
- Proven track record of regulatory examination success