Job Description
Join our dynamic compliance team in San Francisco and make an immediate impact! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence across our financial operations. This urgent opening offers the chance to join a forward-thinking organization committed to ethical standards and risk mitigation. If you thrive in fast-paced environments and possess deep regulatory knowledge, apply today to start your career journey with us.
Responsibilities
- Monitor and interpret federal/state regulations (FINRA, SEC, CFPB) to ensure organizational compliance
- Develop and implement compliance policies, procedures, and training programs
- Conduct internal audits and risk assessments across business units
- Investigate potential compliance breaches and recommend corrective actions
- Collaborate with legal and executive teams on regulatory updates
- Maintain detailed compliance documentation and reporting systems
- Advise stakeholders on regulatory requirements and best practices
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- FINRA Series 63/65/66 certifications (or equivalent)
- Expertise in AML, KYC, and anti-fraud regulations
- Strong analytical and problem-solving abilities
- Exceptional written/verbal communication skills
- Proficiency with compliance software (e.g., ComplianceEase, MetricStream)
- Ability to thrive in deadline-driven environments