Job Description
Join our award-winning compliance team at Global Financial Solutions Inc. as we redefine regulatory excellence in the heart of Minneapolis. We seek a dynamic Senior Compliance Officer to spearhead our risk management framework and ensure adherence to federal regulations. Enjoy a competitive compensation package, hybrid work flexibility, and opportunities for professional growth in a Fortune 500 environment. Be part of a culture that values integrity, innovation, and impact.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with FINRA, SEC, and CFPB regulations
- Conduct risk assessments and internal audits to identify regulatory vulnerabilities
- Lead regulatory reporting initiatives for SEC Form PF and FINRA filings
- Train staff on AML, KYC, and anti-bribery protocols
- Collaborate with legal and audit teams on regulatory change management
- Monitor emerging compliance trends and propose strategic adaptations
- Manage third-party vendor compliance due diligence
Qualifications
- Bachelor's degree in Finance, Law, or related field; MBA or JD preferred
- 7+ years of compliance experience in financial services
- FINRA Series 7, 24, and 63 certifications required
- Expertise in Dodd-Frank Act, Reg BI, and SEC regulations
- Advanced proficiency in compliance management software (e.g., RSA Archer, LogicGate)
- Proven track record of leading regulatory examinations
- Strong analytical and problem-solving abilities