Job Description
Join FinGuard Solutions Inc., a leading financial services firm in the heart of San Francisco, as our new Compliance Officer. This premium role offers weekly pay, competitive benefits, and the opportunity to shape our regulatory framework in a dynamic industry. You'll ensure adherence to federal and state regulations while driving ethical business practices across all operations. Our collaborative culture values innovation and integrity, making this the perfect role for a compliance professional ready to make an impact.
Responsibilities
- Develop, implement, and maintain comprehensive compliance programs aligned with FINRA, SEC, and California DFI regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Investigate and resolve regulatory inquiries, audits, and enforcement actions
- Deliver compliance training to staff across all departments
- Stay updated on regulatory changes and advise leadership on implications
- Prepare detailed compliance reports for executive stakeholders
- Collaborate with legal team to ensure policy alignment with evolving regulations
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or fintech
- Strong knowledge of federal/state regulations (FINRA, SEC, BSA/AML)
- Experience conducting risk assessments and internal audits
- Excellent analytical and problem-solving skills
- Ability to interpret complex regulatory documents
- Professional certification (CRCM, CCEP, or CFA) strongly preferred
- Proficiency in compliance management software (e.g., RSA Archer, LogicGate)