Job Description
Join our award-winning compliance team at Global Financial Partners in Charlotte, NC! We're seeking a detail-oriented Senior Compliance Officer to drive regulatory excellence and risk mitigation strategies. This hybrid role offers competitive compensation, comprehensive benefits, and career growth opportunities in one of America's fastest-growing financial hubs.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and advise on policy adjustments
- Train staff on compliance protocols and ethical standards
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and audit teams for regulatory reporting
- Manage compliance documentation and retention policies
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7, 24, and 63/65/66 certifications required
- Advanced knowledge of FINRA rules and SEC regulations
- Strong analytical and problem-solving abilities
- Experience with compliance management software (e.g., Adenza, Alacer)
- Excellent written communication and presentation skills