Job Description
Join our dynamic team at Global Financial Solutions Inc., a leading fintech innovator in San Francisco's bustling Financial District. As a Compliance Officer, you'll be instrumental in safeguarding our operations against regulatory risks while driving ethical business practices. We offer a collaborative environment where your expertise directly impacts our mission to deliver secure, compliant financial solutions to millions of users.
Our ideal candidate thrives in fast-paced settings and possesses a deep understanding of financial regulations. You'll work alongside industry leaders in our modern office space with stunning bay views, competitive benefits, and opportunities for professional growth. Help shape the future of compliance in the heart of tech finance!
Responsibilities
- Develop, implement, and maintain robust compliance frameworks aligned with federal (FINRA, SEC) and state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Investigate and resolve compliance violations with detailed documentation
- Train staff on compliance protocols and ethical standards
- Collaborate with legal and executive teams on compliance strategy
- Prepare comprehensive compliance reports for stakeholders and regulators
Qualifications
- Bachelor's degree in Finance, Law, or related field; advanced degree preferred
- 5+ years of compliance experience in financial services or fintech
- Strong knowledge of FINRA, SEC, and California financial regulations
- Certified Regulatory Compliance Manager (CRCM) or similar certification
- Exceptional analytical and problem-solving abilities
- Experience with compliance software (e.g., OnBase, MetricStream)
- Proven track record of developing effective compliance programs
- Excellent communication skills with attention to detail