Job Description
Join our elite compliance team at Global Financial Services Inc. as a Senior Compliance Officer in Plano, TX. We're seeking a detail-oriented professional to ensure regulatory adherence and drive ethical practices across our financial operations. Enjoy competitive compensation, comprehensive benefits, and a dynamic work environment in one of America's fastest-growing tech hubs.
Responsibilities
- Develop and implement compliance programs aligned with federal regulations (Dodd-Frank, SOX) and industry standards
- Conduct risk assessments and internal audits to identify compliance gaps
- Advise senior leadership on regulatory changes and mitigation strategies
- Train staff on compliance policies and procedures
- Manage regulatory reporting and documentation
- Collaborate with legal and audit teams on compliance initiatives
- Monitor transactional activities for suspicious behavior
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and OCC regulations
- Professional certifications (CRCM, CAMS, CCEP) required
- Experience with GRC software (e.g., RSA Archer, LogicGate)
- Exceptional analytical and problem-solving skills
- Proven ability to interpret complex regulatory frameworks
- Strong written and verbal communication skills