Job Description
Join our elite compliance team at Global Financial Services Inc. and lead regulatory excellence in Miami's dynamic financial district. We're seeking a Senior Compliance Officer to design robust frameworks ensuring adherence to federal regulations while driving innovation in risk management. This high-impact role offers unparalleled career growth in a top-tier organization.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with SEC, FINRA, and Florida state regulations
- Conduct risk assessments and internal audits for wealth management and investment banking divisions
- Lead regulatory reporting initiatives and liaise with regulatory bodies (SEC, CFTC)
- Mentor junior compliance staff and train employees on AML/KYC protocols
- Coordinate with legal and operations teams to resolve compliance violations
- Stay current on evolving regulations through continuous research and industry networking
Qualifications
- 7+ years of compliance experience in financial services or fintech
- Certified Regulatory Compliance Manager (CRCM) or CAMS designation required
- Expertise in Dodd-Frank Act, SEC Rule 15c3-3, and Florida Money Transmitter Act
- Proven track record of building compliance programs for multinational institutions
- Advanced proficiency in compliance software (e.g., NICE Actimize, Oracle GRC)
- Strong analytical skills with ability to interpret complex regulatory documents
- Bachelor's degree in Finance, Law, or related field; JD or MBA preferred