Job Description
Join our elite compliance team at GlobalTech Solutions Inc. as a Senior Compliance Officer in Chandler, AZ. We're seeking a strategic leader to navigate complex regulatory landscapes and drive ethical excellence across our financial operations. Enjoy competitive compensation, comprehensive benefits, and the opportunity to shape compliance frameworks in a dynamic tech environment. Apply today to become part of our award-winning compliance culture.
Responsibilities
- Develop and implement enterprise-wide compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits for financial service products
- Lead AML/KYC investigations and transaction monitoring initiatives
- Provide regulatory training to 200+ employees across 5 departments
- Collaborate with legal team on policy updates and enforcement actions
- Manage compliance reporting for executive stakeholders and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Law, or related field (MBA/JD preferred)
- 8+ years compliance experience in financial services or fintech
- FINRA Series 7, 24, and 63 certifications required
- Expertise in Reg BI, Dodd-Frank, and state-specific regulations
- Advanced proficiency in compliance software (e.g., Fenergo, ComplyAdvantage)
- Proven track record of reducing compliance violations by 40%+