Job Description
Join Global Financial Partners, a leading investment firm, as our next Senior Compliance Officer. We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our dynamic New York operations. This high-impact role offers competitive compensation and opportunities for career growth within a prestigious financial institution.
Responsibilities
- Monitor and interpret complex regulatory changes (SEC, FINRA, NYDFS) affecting financial operations
- Develop, implement, and maintain compliance policies and procedures across all business units
- Conduct thorough internal audits and risk assessments to identify compliance gaps
- Lead regulatory examinations and prepare documentation for external audits
- Provide compliance training to staff across all levels of the organization
- Collaborate with legal and risk management teams to address emerging compliance challenges
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's/JD preferred)
- 5+ years of compliance experience in financial services or regulated industries
- Strong knowledge of SEC, FINRA, and NYDFS regulations
- Experience leading internal audits and regulatory examinations
- Certified Regulatory Compliance Manager (CRCM) or CCEP designation required
- Exceptional analytical skills with attention to detail
- Proven ability to communicate complex compliance concepts to non-experts