Job Description
Join our elite compliance team at Global Financial Solutions Inc., a leading financial services firm headquartered in downtown Saint Paul. We're seeking a Senior Compliance Officer to drive our regulatory excellence strategy in a dynamic, high-stakes environment. Enjoy competitive compensation, comprehensive benefits, and the opportunity to shape compliance frameworks for our $5B+ portfolio.
What We Offer:
- Industry-leading salary + performance bonuses
- 100% remote flexibility with quarterly office meetups
- Continuing education stipend ($5,000/year)
- 401(k) with 100% match up to 8%
Responsibilities
- Develop and implement enterprise-wide compliance programs aligned with federal/state regulations (Dodd-Frank, SEC, FINRA)
- Conduct high-stakes regulatory audits and risk assessments for investment products
- Lead AML/BSC investigations with 95%+ case resolution rate
- Train 50+ staff annually on regulatory updates via LMS platform
- Collaborate with legal team on regulatory change management initiatives
- Report directly to Chief Compliance Officer on KPIs and emerging risks
Qualifications
- Bachelor's degree in Finance/Law/Compliance (Master's preferred)
- 7+ years compliance experience in financial services
- FINRA Series 7, 24, and 63 licenses required
- Expertise in regulatory reporting (Call, SAR, Form ADV)
- CCEP certification or equivalent
- Proven track record of reducing compliance incidents by 30%+
- Advanced proficiency in RegTech tools (Compliance.ai, NICE Actimize)