Job Description
Join our dynamic compliance team at Global Financial Solutions Inc. in the heart of Baltimore! We're seeking a detail-oriented Senior Compliance Officer to ensure regulatory adherence across all financial operations. This pivotal role combines strategic oversight with hands-on execution in a fast-paced, growth-oriented environment. Enjoy competitive benefits, professional development opportunities, and the chance to shape our compliance framework while making a tangible impact.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify potential compliance gaps
- Provide expert guidance on regulatory changes and their operational implications
- Collaborate with legal, audit, and business teams to embed compliance controls
- Investigate and resolve compliance breaches with corrective action plans
- Prepare comprehensive reports for senior management and regulatory bodies
- Train staff on compliance policies and regulatory requirements
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- FINRA Series 7, 63, and 24 licenses (or ability to obtain within 90 days)
- Expertise in AML, KYC, and anti-fraud regulations
- Proficiency with compliance software (e.g., Nasdaq Comply, Actimize)
- Strong analytical skills with attention to detail
- Excellent written and verbal communication abilities
- Ability to thrive in deadline-driven environments