Job Description
Join our award-winning compliance team at Global Financial Services Inc. and become a guardian of regulatory excellence in the dynamic financial hub of Raleigh, NC. We're seeking a seasoned Senior Compliance Officer to drive our regulatory strategy, mitigate risks, and ensure adherence to federal and state regulations. This high-impact role offers unparalleled growth opportunities, competitive compensation, and the chance to shape compliance frameworks for a Fortune 500 company.
Responsibilities
- Develop and implement robust compliance programs aligned with FINRA, SEC, and state regulations
- Conduct in-depth risk assessments and regulatory audits across all business units
- Lead internal investigations and remediation efforts for compliance breaches
- Train 200+ employees on regulatory requirements and ethical conduct
- Collaborate with legal, audit, and executive teams on compliance initiatives
- Monitor regulatory changes and update policies proactively
Qualifications
- Bachelor's degree in Finance, Law, or related field; advanced degree preferred
- 7+ years of compliance experience in financial services
- FINRA Series 7, 24, and 63/66 licenses required
- Expertise in AML, BSA, and Dodd-Frank regulations
- Strong analytical skills with data-driven decision-making ability
- Proven leadership managing cross-functional compliance teams