Job Description
Join our dynamic team as a Senior Compliance Officer and become a guardian of regulatory excellence at Global Financial Solutions Inc. We're seeking a detail-oriented professional to ensure adherence to federal, state, and industry regulations while driving innovation in compliance frameworks. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional growth in our state-of-the-art Los Angeles headquarters.
Responsibilities
- Develop and implement compliance monitoring programs for SEC, FINRA, and CA regulations
- Conduct risk assessments and internal audits across financial operations
- Train staff on regulatory updates and compliance best practices
- Investigate and resolve compliance breaches with corrective action plans
- Collaborate with legal team on regulatory filings and policy updates
- Prepare comprehensive compliance reports for executive stakeholders
- Stay current on evolving regulatory landscapes through continuous research
Qualifications
- Bachelor's degree in Finance, Business, or related field (MBA/JD preferred)
- 5+ years of compliance experience in financial services
- Active FINRA Series 7, 63, and 24 licenses required
- Expertise in CA-specific financial regulations (e.g., DBO, DFPI)
- Advanced proficiency in compliance software (e.g., OnBase, MetricStream)
- Certified Regulatory Compliance Manager (CRCM) certification
- Strong analytical skills with attention to detail
- Exceptional communication and presentation abilities