Job Description
Join our dynamic compliance team at Global Financial Solutions Inc. in Lubbock, TX! 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 implementation of compliance frameworks. Enjoy a collaborative environment where your expertise directly shapes our risk management practices while advancing your career in the thriving West Texas financial sector.
Responsibilities
- Develop and implement internal compliance policies aligned with federal/state regulations (FINRA, SEC, OCC)
- Conduct regular risk assessments and audit testing of financial processes
- Investigate regulatory violations and recommend corrective actions
- Train staff on compliance protocols and regulatory updates
- Prepare regulatory reports for FINRA, SEC, and state agencies
- Coordinate with external auditors and regulatory examiners
- Maintain comprehensive compliance documentation systems
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- FINRA Series 7, 63, and 24/27 certifications required
- Deep knowledge of Dodd-Frank Act, AML, and anti-fraud regulations
- Proficient with compliance software (e.g., Actimize, ComplyAdvantage)
- Strong analytical and problem-solving abilities
- Excellent written/verbal communication skills
- Experience with regulatory examinations and enforcement actions