Job Description
Join our elite compliance team at Global Financial Group, a leading financial services firm in Charlotte's thriving Uptown district. We seek a highly motivated Senior Compliance Officer to drive regulatory excellence and safeguard our operations. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional growth in one of America's fastest-growing financial hubs.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits for financial products and services
- Investigate regulatory inquiries and ensure timely corrective actions
- Train staff on compliance policies and regulatory updates
- Collaborate with legal and operations teams on regulatory changes
- Monitor industry trends and emerging regulations affecting financial services
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, and 63/65/66 certifications
- Strong knowledge of federal/state banking regulations
- Experience with AML/BSA and OFAC compliance protocols
- Excellent analytical and communication skills
- Ability to thrive in a fast-paced, regulated environment