Job Description
Join our elite compliance team at Global Financial Solutions Inc. and shape the future of regulatory excellence in the heart of Raleigh's thriving financial district. As a Senior Compliance Officer, you'll safeguard our operations while driving innovation in risk management. Enjoy a competitive salary, comprehensive benefits package, and opportunities for career growth in one of America's fastest-growing tech hubs.
Responsibilities
- Develop and implement enterprise-wide compliance programs aligned with FINRA, SEC, and federal regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Advise senior leadership on regulatory changes impacting financial operations
- Train staff on compliance protocols and ethical standards
- Manage regulatory reporting and documentation processes
- Collaborate with legal and audit teams on cross-functional initiatives
- Lead investigations into potential compliance violations
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 7+ years of compliance experience in financial services
- FINRA Series 7, 24, and 63 certifications required
- Expertise in SOX, GDPR, and AML regulations
- Strong analytical skills with proficiency in compliance software
- Exceptional communication and stakeholder management abilities
- Proven track record of developing regulatory frameworks