Position Title: AML Compliance Officer
Overview
Global is seeking a bi-lingual (English & Spanish) speaking AML Compliance Officer. Global Financial Services, LLC and GFS Advisors, LLC (“Global”) are leaders in the money management arena specializing in wealth management for institutions and High Net Worth clients. Global manages over $ 5 billion in assets and has been in business for over 30 years, headquartered in Houston, Texas.
Responsibilities
- Oversee, maintain and develop (write & draft procedures) the AML Compliance Program for the broker-dealer and Investment Adviser.
- Interact with regulators and other counterparties, in coordination with the firm’s Chief Compliance Officer and Owners and other officers of the firm.
- Coordinate inspections by outside consultants, and auditors.
- Assess new rules that may affect company and revise policies to updated regulations.
- Communicate with client service associates, and act as gatekeeper for day-to-day asset movements.
- Coordinate and supervise the AML monitoring and investigation process.
- Create compliance and related reports for Management and the Compliance Committee.
- Maintain relationships with vendors and assist with inquiries.
- Initiate and follow-through on investigations /bring to completion for Case closure / remediation.
- Maintain compliance with FinCEN 314(a) and 314(b).
- Maintain thorough books and records for necessary compliance documentation.
Experience & Qualifications
- CAMs or CRCM certification.
- 5 years securities industry in an AML Officer capacity.
- Fluency in Spanish is a must.
- Series 7, Series 24 preferred but not required.
- Knowledge of FinCEN, FINRA and SEC Regulations.
- Bachelor Degree in Business, Finance or related field.
- Proficient in Windows, Word, Excel, PowerPoint and Adobe Acrobat.
- Ability to communicate effectively at all levels.
- Knowledge of automated transaction monitoring systems (e.g., Unit21, Actimize, etc.).
- Familiarity with online securities clearing firms’ platforms (e.g., Pershing, Raymond James, etc.).
- Familiarity with the filing of Suspicious Activity Reports.
- Familiarity with subscription based Identification scanning (e.g., LexisNexis).
The ideal candidate must be able to prioritize, to work independently to implement, maintain, resolve issues, and work in a fast-paced environment.
This position offers an exciting opportunity for growth within the financial sector while contributing to the success of our clients’ investment goals. If you are passionate about Compliance and particularly with respect to AML in the securities industry we encourage you to apply.
Benefits
- 401(k)
- 401(k) matching
- Dental insurance
- Disability insurance
- Employee assistance program
- Employee discount
- Flexible spending account
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Paid training
- Vision insurance
Job Type: Full-time
Schedule: Monday to Friday
Supplemental pay types: Bonus opportunities
Work Location: In person
Position Title: Client Service Associate
Overview
Global is currently seeking a bi-lingual (English & Spanish) speaking Senior Client Service Associate in its Houston, Texas office that would be responsible for providing full support to one or more Wealth Managers, ensuring client satisfaction through direct-contact with clients, vendors, and other operational employees, while adhering to regulatory standards. Duties include: opening new accounts, executing investment buy and/or sell orders, analyzing reports to determine appropriate action to be taken on behalf of client accounts, maintaining files, preparing client documents, processing money movements (journals and wires) and researching and responding to client needs, answering phones, and assisting with other ad-hoc responsibilities in support of the Firm.
Experience & Qualifications
- 3-5 years securities industry experience required.
- Fluency in Spanish is a must.
- Bachelor’s degree preferred but not required.
- Series 7 preferred but not required.
The ideal candidate must be able to prioritize, to work independently to research and resolve client issues, and to determine the most efficient method of problem resolution while complying with corporate and regulatory procedures. Additionally, the candidate must have an understanding of appropriate paperwork and procedures necessary to process transactions, have strong organizational and client services skills with a particular attention to detail, and must be computer literate and proficient with Windows, Word and Excel. The ideal candidate possesses the ability to multi-task, work both independently and within a team, and is comfortable exercising judgment and making decisions through situational evaluation.
Benefits
- 401(k)
- 401(k) matching
- Dental insurance
- Disability insurance
- Employee assistance program
- Employee discount
- Flexible spending account
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Paid training
- Vision insurance
Job Type: Full-time
Schedule: Monday to Friday
Supplemental pay types: Bonus opportunities
Work Location: In person
Position Title: Portfolio Administrator
Overview
We are seeking a detail-oriented and proactive Portfolio Administrator to join our dynamic team. The ideal candidate will play a crucial role in managing and overseeing client portfolios, ensuring compliance with financial regulations, and providing exceptional support to our investment management team. This position requires a strong understanding of financial concepts and asset management principles, making it an excellent opportunity for individuals looking to advance their careers in the financial services industry. Global Financial Services, LLC and GFS Advisors, LLC (“Global”) are leaders in the money management arena specializing in wealth management for institutions and High Net Worth clients. Global manages over $ 5 billion in assets and has been in business for over 30 years, headquartered in Houston, Texas
Responsibilities
- Assist in the maintenance of client portfolios by timely aggregating data, ensuring accurate securities accrued interest and proper amounts input for cost basis and securities prices.
- Maintain accurate records of transactions, account balances, and portfolio holdings.
- Ensure compliance with relevant securities laws and regulations.
- Prepare reports and presentations for internal teams and clients regarding portfolios.
- Respond to inquiries regarding account status, and data amounts.
- Conduct research as necessary on securities identification and accounting, thereby supporting decision-making processes.
Experience & Qualifications
- A background in portfolio management or asset management is preferred.
- Familiarity with banking operations and financial services is highly desirable.
- Knowledge of securities law and compliance regulations is a plus.
- Previous experience as a clerk or in a similar administrative role within the finance sector is beneficial.
- Experience with a Portfolio accounting software helpful (e.g., Advent APX, Broadridge, Black Diamond, Portia, Portfolio Center, Tamarac Advisor or similar platform), but not required.
- Strong analytical skills with the ability to interpret complex financial data.
- Excellent communication skills, both written and verbal, to effectively interact with clients and team members.
- Proficiency in financial software applications and Microsoft Office Suite.
This position offers an exciting opportunity for growth within the financial sector while contributing to the success of our clients’ investment goals. If you are passionate about finance and eager to make an impact as a Portfolio Administrator, we encourage you to apply.
Benefits
- 401(k)
- 401(k) matching
- Dental insurance
- Disability insurance
- Employee assistance program
- Employee discount
- Flexible spending account
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Paid training
- Vision insurance
Job Type: Full-time
Schedule: Monday to Friday
Supplemental pay types: Bonus opportunities
Work Location: In person
