Job Description
Join our dynamic team in Raleigh as a Senior Compliance Officer and become a guardian of regulatory excellence. At Global Financial Services, we're committed to fostering a culture of integrity and accountability. This pivotal role offers the opportunity to shape our compliance framework, collaborate with executive leadership, and make a tangible impact in the financial services industry. Enjoy competitive benefits, professional development opportunities, and a supportive work environment that champions career growth.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with federal regulations (Dodd-Frank, AML, BSA)
- Conduct risk assessments and internal audits to identify compliance vulnerabilities
- Provide expert guidance to departments on regulatory changes and policy implementation
- Investigate and resolve compliance breaches with corrective action plans
- Liaise with regulatory bodies including FINRA, SEC, and state agencies
- Train staff on compliance protocols and ethical business practices
- Prepare detailed reports for executive leadership and board committees
Qualifications
- Bachelor's degree in Finance, Business, or Law; MBA/JD preferred
- 5+ years in compliance/regulatory affairs within financial services
- Certified Compliance & Ethics Professional (CCEP) designation required
- Expertise in FINRA rules, SEC regulations, and AML protocols
- Strong analytical skills with experience in risk assessment methodologies
- Exceptional written/verbal communication and presentation abilities
- Proficiency in compliance management software (e.g., MetricStream, RSA Archer)