Job Description
Join our elite compliance team at Global Financial Solutions Inc. and lead regulatory excellence in the heart of Minnesota's financial hub. As a Senior Compliance Officer, you'll drive our organization's adherence to federal and state regulations while shaping a culture of integrity and risk mitigation. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional growth in a dynamic, mission-driven environment.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and Minnesota state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Train staff on regulatory requirements and ethical standards
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and executive teams on regulatory policy updates
- Monitor industry trends to anticipate regulatory changes
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 7+ years of compliance experience in financial services
- Certified Compliance & Ethics Professional (CCEP) designation required
- Deep knowledge of FINRA rules and Minnesota banking regulations
- Expertise in AML, BSA, and OFAC compliance frameworks
- Strong analytical and problem-solving abilities
- Experience managing compliance audits and examinations