Job Description
Join our dynamic compliance team at Global Financial Services Inc. and become a guardian of regulatory excellence in the heart of Kansas City. We're urgently seeking a detail-oriented Compliance Officer to implement robust frameworks and ensure adherence to federal regulations. This pivotal role offers competitive compensation, comprehensive benefits, and the opportunity to shape our compliance culture in a rapidly evolving financial landscape. Apply today and make an immediate impact!
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct thorough risk assessments and internal audits for financial products and services
- Investigate potential violations and prepare detailed regulatory reporting documentation
- Provide comprehensive compliance training to staff across all departments
- Collaborate with legal and executive teams to update policies and procedures
- Stay current on regulatory changes and advise on implementation strategies
- Manage compliance documentation and ensure proper record retention
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Active FINRA Series 24, 26, or 27 certification required
- Deep knowledge of federal/state banking regulations and AML protocols
- Exceptional analytical skills with attention to regulatory nuances
- Strong written/verbal communication for training and reporting
- Experience with compliance software (e.g., Adenza, NASD Compliance Suite)
- Ability to thrive in fast-paced, high-stakes environments