Job Description
Join our elite compliance team at Global Financial Services Inc., a leading financial institution in Miami's thriving Brickell district. We're seeking a meticulous Senior Compliance Officer to safeguard our operations against regulatory risks while driving strategic compliance initiatives. This high-impact role offers unparalleled career growth in one of America's most vibrant financial hubs, with competitive compensation and comprehensive benefits including equity participation.
Our ideal candidate will navigate complex regulatory landscapes with precision, ensuring adherence to federal, state, and international standards. You'll collaborate with executive leadership to embed compliance excellence across all business units while maintaining our industry-leading reputation for ethical operations.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with SEC, FINRA, and CFTC regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Lead investigations into potential violations and recommend corrective actions
- Design and deliver compliance training for 200+ employees across multiple departments
- Act as primary liaison with regulatory bodies including the SEC and FDIC
- Monitor emerging legislation (e.g., AML, CFTC Rule 1.71) and update policies accordingly
- Prepare detailed compliance reports for executive committee and board of directors
- Mentor junior compliance analysts and foster a culture of ethical decision-making
Qualifications
- Bachelor's degree in Finance, Law, or related field; advanced degree preferred
- 8+ years of compliance experience in financial services or fintech
- Active CCEP certification or willingness to obtain within 6 months
- Expertise in SEC regulations, FINRA rules, and international AML frameworks
- Proven track record of designing compliance programs for institutions >$5B AUM
- Exceptional analytical skills with proficiency in compliance software (e.g., Diligence, ComplyAdvantage)
- Strong presentation skills for delivering executive-level compliance briefings
- Experience managing cross-functional compliance initiatives in regulated environments