Job Description
Join our dynamic compliance team at Global Financial Services Inc. in Tampa, FL! We're urgently seeking a meticulous Compliance Officer to safeguard our regulatory integrity and drive ethical excellence. This critical role offers competitive compensation, comprehensive benefits, and the opportunity to shape our compliance framework in a fast-paced financial environment. If you're passionate about regulatory adherence and want to make an immediate impact, apply today!
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal (FINRA, SEC, OCC) and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Investigate regulatory violations and prepare remediation plans
- Train staff on compliance policies and regulatory updates
- Prepare regulatory filings and maintain audit documentation
- Collaborate with legal, risk, and operations teams
- Stay current on evolving financial regulations (e.g., AML, KYC)
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- CFMP, CAMS, or CRCM certification preferred
- Deep knowledge of FINRA, SEC, and Florida financial regulations
- Exceptional analytical and problem-solving skills
- Strong written/verbal communication abilities
- Proficiency in compliance software (e.g., MetricStream, Wolters Kluwer)