Job Description
Join our elite compliance team at Global Financial Solutions Inc., a premier financial services firm in Saint Paul, MN. We're seeking a Senior Compliance Officer to drive regulatory excellence and mitigate risks in a dynamic financial environment. Enjoy competitive compensation, comprehensive benefits, and opportunities for career advancement in our downtown headquarters.
Responsibilities
- Develop and implement compliance programs adhering to federal/state regulations (FINRA, SEC, CFPB)
- Conduct risk assessments and internal audits for financial products/services
- Advise senior leadership on regulatory changes and compliance implications
- Train staff on compliance policies and procedures
- Manage regulatory reporting and documentation
- Collaborate with legal and audit departments
- Lead investigations into potential compliance breaches
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- FINRA Series 65/66 or equivalent certification required
- Expert knowledge of financial regulations and industry standards
- Strong analytical and problem-solving abilities
- Excellent written/verbal communication skills
- Experience with compliance management software
- Ability to thrive in a fast-paced, regulated environment