Job Description
Join our dynamic compliance team at Global Financial Solutions Inc. and play a pivotal role in safeguarding our organization's integrity. We're seeking a highly skilled Senior Compliance Officer to develop and implement robust compliance frameworks in a fast-paced financial services environment. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional growth in one of Plano's most prestigious corporate hubs.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (FINRA, SEC, OCC)
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare detailed regulatory reports and documentation for executive leadership
- Train staff on compliance policies and regulatory updates
- Collaborate with legal and risk management teams on compliance initiatives
- Investigate and resolve compliance violations with corrective action plans
- Stay current on industry regulations through continuous education
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 7+ years of compliance experience in financial services
- FINRA Series 7, 24, or 63 certifications required
- Advanced knowledge of AML, BSA, and anti-fraud regulations
- Strong analytical skills with attention to detail
- Experience with compliance software (e.g., ComplyAdvantage, Fenergo)
- Excellent written and verbal communication skills
- Proven ability to manage complex compliance projects