Job Description
Join our elite compliance team at Global Financial Services Inc., a top-tier financial institution in Indianapolis. We seek a highly motivated Senior Compliance Officer to ensure adherence to federal regulations, mitigate risk, and drive ethical practices across our operations. This premium role offers competitive compensation, comprehensive benefits, and opportunities for career advancement in a dynamic environment.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Train staff on regulatory requirements and ethical standards
- Monitor industry changes and update policies accordingly
- Collaborate with legal and audit teams to ensure cohesive compliance frameworks
- Manage investigations of compliance violations and recommend corrective actions
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and Indiana state regulations
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Advanced analytical and problem-solving skills
- Exceptional written and verbal communication abilities
- Experience with compliance software and data analytics tools