Job Description
Join our award-winning compliance team at Global Financial Solutions Inc., a top-tier financial services leader in Plano, TX. We're seeking a highly motivated Senior Compliance Officer to drive regulatory excellence and safeguard our operations in a dynamic industry. This high-paying role offers unparalleled career growth, comprehensive benefits, and the opportunity to make a tangible impact. Our modern Plano office features state-of-the-art facilities and a collaborative culture focused on innovation and professional development.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with federal regulations (Dodd-Frank, SOX, AML) and industry standards
- Conduct risk assessments and internal audits to identify compliance gaps and implement corrective actions
- Collaborate with legal, operations, and IT teams to ensure cross-functional compliance integration
- Prepare detailed regulatory reports and maintain accurate documentation for audit readiness
- Lead training initiatives to educate staff on compliance policies and regulatory changes
- Stay current on evolving regulations and provide strategic guidance on compliance implications
Qualifications
- Bachelor's degree in Finance, Business, or related field; Master's or JD preferred
- 5+ years of compliance experience in financial services or regulated industry
- Strong knowledge of FINRA, SEC, and Texas state regulations
- Professional certifications (CRCM, CAMS, or CCEP) highly desirable
- Exceptional analytical skills with attention to detail and accuracy
- Proven ability to interpret complex regulatory requirements and communicate effectively
- Experience with GRC software (e.g., RSA Archer, MetricStream) and regulatory reporting tools