Job Description
Join our award-winning compliance team at Global Financial Solutions Inc. in the heart of Austin's thriving tech corridor! We're seeking a meticulous Senior Compliance Officer to safeguard our operations while driving ethical excellence. This pivotal role combines regulatory expertise with strategic risk management in a dynamic, growth-oriented environment.
As a key member of our corporate governance division, you'll shape compliance frameworks that protect our clients, employees, and shareholders while ensuring adherence to SEC, FINRA, and evolving state regulations. Enjoy competitive benefits, hybrid work options, and opportunities for professional growth in one of America's most vibrant cities.
Responsibilities
- Develop, implement, and monitor robust compliance programs aligned with federal/state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Provide regulatory guidance to cross-functional teams on FINRA/SEC requirements
- Lead investigations and remediation of compliance incidents
- Prepare comprehensive reports for executive leadership and regulatory bodies
- Train staff on compliance protocols and regulatory updates
- Collaborate with legal team on policy development and regulatory changes
Qualifications
- Bachelor's degree in Finance, Business, or Law (Master's preferred)
- 5+ years compliance experience in financial services or fintech
- Active CRCM or CCEP certification required
- Expertise in SEC/FINRA regulations and AML protocols
- Strong analytical skills with attention to detail
- Experience developing compliance training programs
- Proficient in compliance software (e.g., RSA Archer, LogicGate)
- Excellent written/verbal communication skills