Job Description
Join our elite compliance team at Global Financial Solutions Inc., a leading financial services firm headquartered in Philadelphia. We're seeking a highly motivated Senior Compliance Officer to drive our regulatory excellence and risk management initiatives. This high-paying role offers unparalleled career growth in a dynamic, mission-driven environment. Enjoy competitive compensation, comprehensive benefits, and the opportunity to shape our compliance framework in one of America's most vibrant financial hubs.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with FINRA, SEC, and state regulations
- Conduct high-stakes internal audits and risk assessments across trading, operations, and client services
- Lead regulatory examinations and respond to inquiries from FINRA, SEC, and other authorities
- Design and deliver targeted compliance training for 200+ employees across 5 departments
- Collaborate with legal, operations, and executive teams to embed compliance into business processes
- Manage compliance reporting and dashboard creation for executive stakeholders
- Drive AML/BSA program enhancements and transaction monitoring oversight
Qualifications
- 8+ years of compliance experience in financial services with FINRA/SEC regulations expertise
- Certified Regulatory Compliance Manager (CRCM) or CAMS designation required
- Proven track record leading regulatory examinations and enforcement actions
- Advanced knowledge of SEC, FINRA, and Pennsylvania state compliance frameworks
- Exceptional analytical skills with experience in compliance technology platforms (e.g., NASD, Adenza)
- Strong presentation skills with experience training executive leadership teams
- Master's degree in Finance, Law, or related field preferred
- Philadelphia-based experience strongly preferred