Job Description
Join CompliancePro Solutions Inc., a leader in financial regulatory compliance, as a Compliance Officer in Irvine, CA. Enjoy weekly pay, competitive benefits, and a dynamic work environment. We're seeking a detail-oriented professional to ensure our operations adhere to federal and state regulations while driving ethical standards across all departments.
Responsibilities
- Monitor and enforce compliance with FINRA, SEC, and California DFI regulations
- Conduct internal audits and risk assessments quarterly
- Develop/update compliance policies and procedures manuals
- Train staff on regulatory changes and best practices
- Investigate and resolve compliance violations
- Prepare regulatory reports for state and federal agencies
- Collaborate with legal and finance teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- FINRA Series 63, 65, or 26 licenses required
- Strong knowledge of AML, KYC, and BSA regulations
- Advanced proficiency in compliance software (e.g., Salesforce, OnBase)
- Exceptional analytical and problem-solving skills
- Ability to thrive in fast-paced, regulated environments