Job Description
Join our elite compliance team at Global Financial Solutions Inc., where integrity meets innovation. As a Senior Compliance Officer in Buffalo, you'll safeguard our operations against regulatory risks while driving ethical excellence. Enjoy a competitive compensation package, comprehensive benefits, and opportunities for professional growth in a dynamic financial environment. Be the guardian of compliance excellence in New York's thriving financial hub.
Responsibilities
- Develop and implement robust compliance frameworks aligned with FINRA, SEC, and NYDFS regulations
- Conduct risk assessments and internal audits to identify regulatory vulnerabilities
- Provide expert guidance to senior leadership on compliance implications of business initiatives
- Manage regulatory reporting requirements and ensure timely submissions to governing bodies
- Lead cross-functional training programs to enhance organizational compliance awareness
- Investigate and remediate compliance breaches with meticulous documentation
- Stay abreast of evolving financial regulations and advise on strategic adaptations
Qualifications
- Bachelor's degree in Finance, Law, or related field; advanced degree preferred
- 7+ years of compliance experience in financial services or regulated industries
- Deep expertise in federal/state regulations (Dodd-Frank, AML, BSA)
- Strong analytical skills with proficiency in compliance monitoring tools
- FINRA Series 24 or 27 certification required
- Exceptional communication skills for stakeholder engagement and training
- Proven track record of developing compliance policies and procedures
- Experience managing compliance audits and regulatory examinations