Job Description
Join our elite compliance team at Global Financial Solutions Inc., a leading financial services firm in Durham, NC. We seek a meticulous Senior Compliance Officer to safeguard regulatory integrity while driving strategic growth in a dynamic market. Enjoy competitive compensation, comprehensive benefits, and career advancement in a culture that values innovation and excellence.
Responsibilities
- Develop, implement, and monitor robust compliance programs aligned with federal (FINRA, SEC, CFPB) and state regulations
- Conduct high-stakes risk assessments and internal audits across banking operations and investment services
- Lead regulatory reporting initiatives and liaise with examiners from FINRA, OCC, and other regulatory bodies
- Design and deliver compliance training programs for 200+ employees across 5 regional offices
- Advise executive leadership on emerging regulatory trends and mitigation strategies
- Manage compliance investigations and remediation efforts for complex violations
Qualifications
- Bachelor's degree in Finance, Law, or related field; advanced degree preferred
- 7+ years compliance experience in financial services with FINRA Series 7, 24, and 63 licenses
- Proven expertise in AML, KYC, and BSA/AML regulations
- Strong analytical skills with proficiency in compliance software (e.g., Fenergo, ComplyAdvantage)
- Exceptional written/verbal communication with ability to translate complex regulations
- Experience managing compliance programs in multi-state banking environments
- Professional certifications (CRCM, CAMS) highly valued