Job Description
Join our dynamic team as a Senior Compliance Officer at Global Financial Services Inc., where integrity meets innovation. Based in the vibrant heart of Seattle, you'll safeguard our organization's regulatory adherence while shaping industry-leading compliance frameworks. We offer a collaborative environment where your expertise directly impacts our commitment to ethical excellence and operational transparency.
Why Join Us? Enjoy comprehensive benefits including health insurance, retirement plans, and professional development opportunities. Our Seattle headquarters features modern workspaces with skyline views and flexible scheduling options.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (SEC, FINRA, CFPB) and state laws
- Conduct risk assessments and internal audits to identify compliance vulnerabilities
- Prepare regulatory reports and disclosures for SEC filings and examinations
- Train staff on compliance policies and emerging regulatory changes
- Collaborate with legal and audit teams to resolve compliance issues
- Stay current on regulatory developments through industry research and networking
- Lead special projects related to compliance automation and process improvements
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industries
- Active FINRA Series 7 and 63/66 licenses (or ability to obtain within 90 days)
- Strong knowledge of SEC regulations, AML/BSA requirements, and consumer protection laws
- Experience with compliance management software (e.g., Diligent, OneTrust)
- Exceptional analytical skills and attention to detail
- Ability to communicate complex regulatory concepts to non-technical stakeholders