Job Description
Join our award-winning compliance team at Global Financial Solutions Inc., a leading financial institution with a 25-year legacy in Buffalo's thriving financial district. We're seeking a dynamic Senior Compliance Officer to drive our regulatory excellence initiatives in a high-stakes environment. Enjoy comprehensive benefits including 401(k) matching, health insurance premiums covered, and flexible work arrangements. This hybrid role offers competitive compensation with performance-based bonuses and career advancement opportunities within our Fortune 500 parent company.
Responsibilities
- Develop, implement, and maintain robust compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct risk assessments and internal audits to identify compliance gaps and remediation opportunities
- Provide expert guidance on regulatory changes including Dodd-Frank, AML, and anti-bribery laws
- Lead training initiatives for 200+ staff members on compliance protocols and ethical standards
- Manage regulatory reporting requirements and prepare documentation for examinations
- Collaborate with legal, audit, and operations teams to ensure cross-functional compliance
- Investigate potential violations and recommend corrective actions
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's or JD preferred)
- 7+ years of compliance experience in financial services with 3+ years in leadership
- Certifications: CRCM, CCEP, or CAMS designation required
- Proven expertise in NYDFS regulations and FINRA Rule 3210
- Advanced analytical skills with proficiency in compliance monitoring tools
- Exceptional communication abilities for presenting complex concepts to stakeholders
- Experience managing compliance programs for institutions with $5B+ AUM