Job Description
Join our elite compliance team at Global Financial Partners Inc., a leading investment firm in New York's Financial District. We seek a highly motivated Senior Compliance Officer to drive regulatory excellence and risk mitigation in a dynamic, high-stakes environment. This role offers unparalleled career growth and industry-leading compensation. You'll collaborate with executive leadership to ensure adherence to FINRA, SEC, and NYDFS regulations while shaping our compliance framework for future challenges.
We offer a comprehensive benefits package including unlimited PTO, 401(k) matching, and exclusive wellness programs. Our state-of-the-art office features panoramic city views and cutting-edge technology. Apply today to join a team where your expertise directly impacts our firm's integrity and success.
Responsibilities
- Develop and implement compliance policies aligned with evolving financial regulations
- Conduct rigorous internal audits and risk assessments across trading operations
- Manage AML/KYC program with $10M+ transaction monitoring oversight
- Lead regulatory examinations and prepare responsive documentation
- Train staff on compliance protocols and regulatory updates
- Collaborate with legal and risk departments on strategic initiatives
- Report directly to Chief Compliance Officer on regulatory changes
Qualifications
- 7+ years compliance experience in financial services
- FINRA Series 24/63 and Series 7 licenses required
- Expert knowledge of SEC, FINRA, and NYDFS regulations
- Proven track record in AML/SOX program implementation
- Advanced degree in Finance, Law, or related field
- Experience managing compliance teams of 5+ professionals
- Certification (CRCM, CAMS) strongly preferred