Job Description
Join our dynamic compliance team at Global Financial Services Inc. in Santa Ana, CA! We're seeking a detail-oriented Compliance Officer to safeguard our operations against regulatory risks while fostering a culture of ethical excellence. This hybrid role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a fast-paced financial services environment.
Responsibilities
- Monitor regulatory updates (FINRA, SEC, OCC) and implement compliance protocols
- Conduct internal audits and risk assessments across business units
- Develop and maintain compliance policies/procedures documentation
- Investigate potential violations and recommend corrective actions
- Train staff on regulatory requirements and ethical standards
- Prepare compliance reports for executive leadership and regulators
- Collaborate with legal department on regulatory changes
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- FINRA Series 24 or 27 certification preferred
- Strong knowledge of federal/state banking regulations
- Exceptional analytical and problem-solving skills
- Proficiency in compliance management software (e.g., MetricStream)
- Excellent written/verbal communication abilities
- Certified Regulatory Compliance Manager (CRCM) a plus