Job Description
Join our elite team as a Senior Compliance Officer at Global Financial Solutions Inc. in Indianapolis, IN. This high-impact role offers a competitive compensation package and the opportunity to shape compliance strategy for a Fortune 500 financial institution. Enjoy a hybrid work model, comprehensive benefits, and career advancement opportunities in one of America's fastest-growing financial hubs.
Responsibilities
- Develop and implement enterprise-wide compliance programs adhering to federal/state regulations (SEC, FINRA, CFTC)
- Conduct risk assessments and internal audits for investment products and trading operations
- Lead regulatory reporting initiatives to ensure 100% accuracy and timely submissions
- Mentor junior compliance staff and conduct departmental training sessions
- Collaborate with legal, audit, and business units to resolve compliance escalations
- Stay current on regulatory changes via continuous monitoring of FINRA/SEC updates
- Prepare Board-level compliance dashboards and executive summaries
Qualifications
- Bachelor's degree in Finance, Law, or related field (MBA/JD preferred)
- 7+ years of compliance experience in financial services or fintech
- FINRA Series 7, 24, and 63/66 certifications required
- Proven expertise in AML, KYC, and sanctions compliance frameworks
- Advanced proficiency in compliance software (e.g., MetricStream, OneTrust)
- Experience managing regulatory examinations from start to finish
- Strong analytical skills with data-driven decision-making ability
- Excellent written communication with experience drafting compliance policies