Job Description
Join our elite compliance team at Global Financial Solutions Inc. as a Senior Compliance Officer in Chandler, AZ. We're seeking a detail-oriented professional to ensure regulatory adherence, mitigate financial risks, and drive ethical standards across our operations. This high-impact role offers competitive compensation and career growth in a dynamic financial environment.
Responsibilities
- Develop and implement robust compliance programs aligned with federal regulations (FINRA, SEC, AML)
- Conduct internal audits and risk assessments for financial products/services
- Investigate and resolve compliance violations with remediation plans
- Train staff on regulatory changes and ethical standards
- Collaborate with legal, audit, and business units on compliance initiatives
- Monitor industry trends and regulatory updates affecting financial operations
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Certifications (CRCM, CAMS, CCEP) highly valued
- Expertise in FINRA regulations and AML/KYC protocols
- Strong analytical skills with attention to detail
- Experience with compliance software (e.g., RSA Archer, Thomson Reuters)
- Excellent communication and stakeholder management abilities