Job Description
Join our elite compliance team at Global Financial Solutions Inc., a leading financial services firm in Philadelphia. We're seeking a highly motivated Senior Compliance Officer to ensure regulatory adherence and drive ethical practices across all operations. This premium role offers competitive compensation, comprehensive benefits, and career advancement in a dynamic industry.
As a key member of our risk management division, you'll collaborate with executive leadership to implement robust compliance frameworks and navigate complex regulatory landscapes. Our Philadelphia headquarters offers a modern work environment with flexible scheduling and professional development opportunities.
Responsibilities
- Develop and maintain comprehensive compliance programs aligned with federal regulations (SEC, FINRA, CFTC)
- Conduct internal audits and risk assessments to identify compliance gaps
- Train staff on regulatory requirements and ethical standards
- Monitor regulatory changes and update policies accordingly
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and disclosures for submission
- Collaborate with legal and risk management teams
- Lead compliance initiatives for new product launches
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or equivalent designation
- Deep knowledge of FINRA, SEC, and AML regulations
- Experience with compliance software (e.g., MetricStream, Wolters Kluwer)
- Strong analytical and problem-solving abilities
- Excellent communication and presentation skills
- Ability to manage multiple projects under tight deadlines