Job Description
Join our dynamic compliance team at Global Financial Solutions Inc. as a Senior Compliance Officer in Richmond, VA. You'll be instrumental in safeguarding our organization against regulatory risks while fostering a culture of ethical conduct. Enjoy competitive benefits, professional development opportunities, and a collaborative work environment in the heart of Virginia's financial hub.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with federal regulations (FINRA, SEC, AML)
- Conduct internal audits and risk assessments across financial operations
- Monitor regulatory changes and update compliance policies accordingly
- Train staff on compliance procedures and ethical standards
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and executive teams on compliance strategy
- Prepare detailed regulatory reports for stakeholders
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) designation
- Expert knowledge of FINRA, SEC, and AML regulations
- Strong analytical and problem-solving skills
- Experience with compliance management software (e.g., LogicGate, MetricStream)
- Excellent written and verbal communication abilities