Job Description
Join our dynamic compliance team at GlobalTech Innovations, a leading fintech disruptor in Silicon Valley. We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence and drive ethical business practices. This immediate hire opportunity offers a chance to shape compliance frameworks in a fast-paced environment while enjoying competitive benefits and career growth.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal/state regulations (e.g., FINRA, SEC, GDPR)
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and executive teams on compliance strategy
- Prepare detailed reports for regulatory bodies and senior leadership
Qualifications
- Bachelor's degree in Finance, Law, or related field; JD or advanced degree preferred
- 5+ years of compliance experience in financial services/tech
- Strong knowledge of FINRA regulations, AML, and sanctions compliance
- Certifications (CRCM, CAMS, or CCEP) highly desirable
- Exceptional analytical and problem-solving abilities
- Proficiency in compliance software (e.g., MetricStream, RSA Archer)
- Experience building compliance frameworks from the ground up
- Excellent communication skills with ability to train diverse audiences