Job Description
Join our elite compliance team at Global Financial Services Inc. where you'll safeguard regulatory integrity in the financial sector. We're seeking a Senior Compliance Officer to design robust compliance frameworks, conduct risk assessments, and ensure adherence to FINRA, SEC, and NYDFS regulations. This role offers unparalleled career growth in Buffalo's thriving financial hub with competitive compensation and comprehensive benefits.
Responsibilities
- Develop and implement enterprise-wide compliance policies and procedures
- Conduct internal audits and regulatory examinations
- Monitor legislative changes and update compliance protocols
- Train staff on regulatory requirements and ethical standards
- Manage AML/BSA programs and Suspicious Activity Reports
- Collaborate with legal and audit teams on compliance initiatives
- Prepare reports for senior management and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Law, or related field (MBA/JD preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 24, 26, or 27 certifications required
- Deep knowledge of NYDFS Part 500 regulations
- Strong analytical and risk assessment skills
- Experience with compliance management software
- Excellent written and verbal communication abilities