Job Description
Join CompliancePro Solutions as a Compliance Officer in Irvine, CA, and become a guardian of ethical business practices. We're seeking a detail-oriented professional to ensure regulatory adherence across all operations while driving our compliance culture forward. This hybrid role offers the perfect blend of independent work and collaborative team engagement in a dynamic corporate environment.
As a key member of our risk management team, you'll implement robust compliance frameworks, conduct thorough audits, and provide expert guidance to stakeholders. Our Irvine headquarters features state-of-the-art facilities and a supportive atmosphere where compliance excellence is celebrated.
Responsibilities
- Develop, implement, and maintain comprehensive compliance programs aligned with federal regulations (SOX, Dodd-Frank) and industry standards
- Conduct regular internal audits and risk assessments to identify compliance gaps and recommend corrective actions
- Provide expert guidance to departments on regulatory requirements and ethical business practices
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Monitor regulatory changes and update policies/procedures to maintain compliance posture
- Train employees on compliance protocols and ethical conduct standards
- Collaborate with legal counsel on compliance-related investigations and resolutions
Qualifications
- Bachelor's degree in Finance, Business Administration, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industries
- Deep knowledge of federal/state regulations (SEC, FINRA, CFPB) and compliance frameworks
- Strong analytical skills with ability to interpret complex regulations and assess risk
- Excellent written/verbal communication skills for training and reporting
- Certifications (CRCM, CAMS, CCEP) highly desirable
- Proficiency in compliance software (e.g., RSA Archer, MetricStream)
- Proven track record of developing effective compliance programs