Job Description
Join our elite compliance team at Global Financial Solutions Inc., a leading financial services firm headquartered in Charlotte's thriving Uptown district. We're seeking a dynamic Senior Compliance Officer to drive regulatory excellence and risk mitigation in a high-stakes environment. This role offers unparalleled career growth, competitive compensation, and the opportunity to shape compliance frameworks for multi-billion dollar portfolios. Our culture combines cutting-edge technology with collaborative innovation, ensuring you'll work alongside industry experts while making a tangible impact on financial integrity.
Responsibilities
- Develop and implement robust compliance programs aligned with SEC, FINRA, and federal regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Partner with legal and operations teams to resolve regulatory inquiries
- Lead AML/KYC monitoring and reporting processes
- Train staff on compliance policies and regulatory updates
- Prepare regulatory filings and management reports
- Stay current on industry trends and emerging regulations
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 7+ years compliance experience in financial services
- Certifications (CRCM, CAMS, CCEP) strongly preferred
- Expertise in FINRA/SEC regulations and AML frameworks
- Exceptional analytical and problem-solving skills
- Advanced proficiency in compliance management software
- Proven track record of regulatory change implementation