Job Description
Join our elite compliance team at Global Financial Solutions Inc., a premier financial services firm headquartered in Plano, TX. We're seeking a highly motivated Senior Compliance Officer to drive regulatory excellence in a dynamic, high-stakes environment. This role offers unparalleled career growth, competitive compensation, and the opportunity to shape our compliance framework while safeguarding our operations. Enjoy comprehensive benefits, flexible work arrangements, and a culture that values integrity and innovation.
Responsibilities
- Develop and implement robust compliance programs aligned with federal regulations (FINRA, SEC, OCC) and industry best practices
- Conduct in-depth risk assessments and internal audits to identify compliance gaps
- Collaborate with legal and executive teams on regulatory changes and policy updates
- Lead training initiatives for staff on compliance protocols and ethical conduct
- Manage regulatory reporting and documentation with meticulous attention to detail
- Investigate and resolve compliance violations with corrective action plans
- Stay current on emerging regulatory trends and technological advancements in compliance
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 7+ years of compliance experience in financial services with 3+ in leadership roles
- Active CRCM, CAMS, or CCEP certification required
- Deep expertise in FINRA rules, SEC regulations, and anti-money laundering frameworks
- Proven track record of designing and scaling compliance programs
- Exceptional analytical skills with proficiency in compliance software (e.g., Diligent, OneTrust)
- Strong communication abilities for presenting complex concepts to stakeholders