Job Description
Join our dynamic compliance team at Global Financial Services Inc. and become a guardian of ethical excellence in the heart of Memphis. As a Senior Compliance Officer, you'll safeguard our operations against regulatory risks while fostering a culture of integrity across our financial services division. This role offers hybrid flexibility, comprehensive benefits, and opportunities for professional growth in a Fortune 500 environment.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with federal regulations (FINRA, SEC, OCC)
- Conduct risk assessments and internal audits to identify compliance gaps
- Train staff on regulatory requirements and ethical standards
- Investigate and resolve compliance violations with appropriate corrective actions
- Monitor legislative changes and update policies accordingly
- Liaise with regulatory bodies during examinations and inquiries
- Prepare detailed compliance reports for executive leadership
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 24, 26, or 27 certifications required
- Strong knowledge of banking regulations and AML protocols
- Exceptional analytical and problem-solving abilities
- Experience managing compliance audits and investigations
- Proficient in compliance management software (e.g., MetricStream, RSA Archer)
- Excellent communication skills with regulatory experience