Job Description
Join our elite compliance team at Global Financial Solutions Inc., a leading financial services firm headquartered in Buffalo, NY. We're seeking a highly motivated Senior Compliance Officer to ensure regulatory adherence across all operations. This high-impact role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a dynamic environment.
Our ideal candidate will navigate complex regulatory landscapes, implement robust compliance frameworks, and safeguard our organization against financial crimes. If you're passionate about ethical governance and thrive in high-stakes financial environments, we invite you to apply today and become a cornerstone of our commitment to integrity.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (FINRA, SEC, NYDFS)
- Conduct thorough risk assessments and internal audits for banking and investment operations
- Investigate potential compliance breaches and recommend corrective actions
- Provide regulatory guidance to senior management and department heads
- Prepare detailed compliance reports for regulatory bodies and stakeholders
- Train staff on regulatory requirements and ethical standards
- Stay updated on evolving financial regulations and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Strong knowledge of AML, BSA, and anti-fraud regulations
- FINRA Series 24 or 26 certification required
- Proven ability to interpret complex regulatory frameworks
- Exceptional analytical and problem-solving skills
- Experience managing compliance audits and investigations
- Professional certifications (CRCM, CAMS) highly desirable