Job Description
Join our dynamic team as a Senior Compliance Officer at Global Financial Partners, where we're revolutionizing financial compliance in the heart of Miami's thriving business district. This high-impact role offers unparalleled growth opportunities and a competitive compensation package designed for top-tier professionals. You'll be instrumental in safeguarding our operations while shaping the future of regulatory excellence in one of America's most vibrant financial hubs.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with FINRA, SEC, and Florida state regulations
- Conduct high-stakes risk assessments and internal audits across all business units
- Lead regulatory reporting initiatives and respond to examinations from regulatory bodies
- Mentor junior compliance staff and drive continuous improvement in compliance frameworks
- Collaborate with legal, risk, and executive teams on strategic compliance initiatives
- Monitor emerging regulatory trends and advise on proactive compliance measures
Qualifications
- Bachelor's degree in Finance, Law, or related field; advanced degree preferred
- 7+ years of compliance experience in financial services with 3+ in leadership roles
- Active FINRA Series 7, 24, and 63/66 licenses or equivalent regulatory certifications
- Expert knowledge of federal/state compliance regulations and AML protocols
- Proven track record of managing complex compliance investigations
- Exceptional analytical skills with proficiency in compliance monitoring tools