Job Description
Join our elite compliance team at Global Financial Services Inc., a top-tier investment bank headquartered in the heart of Manhattan. We're seeking a Senior Compliance Officer to navigate complex regulatory landscapes and drive ethical excellence in our fast-paced financial environment. This high-impact role offers unparalleled career growth, competitive compensation, and the opportunity to shape compliance strategies for global operations.
Our New York office boasts state-of-the-art facilities, flexible work arrangements, and a culture that rewards innovation. Enjoy comprehensive benefits including health equity stipends, unlimited PTO, and a 401(k) match. This is your chance to join industry leaders while making a tangible impact on financial integrity.
Responsibilities
- Develop and implement robust compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct high-stakes regulatory investigations and remediation initiatives
- Partner with legal, risk, and business units to embed compliance frameworks
- Lead AML/KYC program enhancements and transaction monitoring oversight
- Prepare critical regulatory filings and exam responses
- Mentor junior compliance professionals and drive continuous improvement
- Represent the firm in regulatory examinations and industry forums
Qualifications
- Bachelor's degree in Finance, Law, or related field (MBA/JD preferred)
- 7+ years compliance experience in financial services or fintech
- FINRA Series 24/26/27 certifications required
- Deep expertise in federal/state banking regulations and NYDFS Part 500
- Proven success in leading complex regulatory examinations
- Advanced proficiency in compliance monitoring tools (e.g., Actimize, NICE Actimize)
- Exceptional analytical and cross-functional leadership abilities