Job Description
Join our elite compliance team at Global Financial Solutions Inc. in Buffalo, NY, where we champion regulatory excellence and ethical integrity. We seek a dynamic Senior Compliance Officer to design, implement, and monitor robust compliance frameworks within our fast-paced financial services environment. Enjoy a competitive salary, comprehensive benefits, and career advancement opportunities in a city renowned for its affordability and quality of life.
Responsibilities
- Develop and enforce compliance policies aligned with federal regulations (FINRA, SEC, NYDFS)
- Conduct risk assessments and internal audits for financial transactions
- Lead regulatory reporting initiatives and respond to examiner inquiries
- Train staff on compliance protocols and ethical standards
- Collaborate with legal and audit teams to remediate control gaps
- Monitor legislative changes and update compliance programs proactively
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7, 24, or 63 certifications required
- Expertise in AML, KYC, and anti-banking regulations
- Strong analytical and problem-solving abilities
- Exceptional written and verbal communication skills
- Proficiency in compliance software (e.g., ComplyAdvantage)