Job Description
Join our dynamic team as a Compliance Officer with flexible scheduling options! We're seeking a detail-oriented professional to ensure regulatory adherence and operational excellence in our fast-paced financial services environment. Enjoy work-life balance with adjustable hours while making a significant impact on our compliance framework.
Responsibilities
- Monitor and interpret regulatory changes affecting financial operations
- Conduct internal audits and compliance risk assessments
- Develop/update compliance policies and procedures documentation
- Train staff on regulatory requirements and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare comprehensive compliance reports for stakeholders
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance/regulatory experience
- Strong knowledge of FINRA, SEC, and CA state regulations
- Excellent analytical and problem-solving skills
- Professional certification (CRCM, CAMS, or CCEP) preferred
- Proficient in compliance management software
- Exceptional written and verbal communication abilities