Job Description
Join our award-winning compliance team and make an immediate impact! Regulatory Solutions Group is seeking a dynamic Compliance Officer to start tomorrow in our Irvine headquarters. As a pivotal member of our risk management division, you'll ensure organizational adherence to federal regulations, industry standards, and internal policies. This is your chance to elevate your career in a supportive environment with competitive benefits and rapid advancement opportunities.
Responsibilities
- Monitor and interpret regulatory updates (SEC, FINRA, CFTC) to implement compliance protocols
- Conduct risk assessments and internal audits across business operations
- Develop training programs for staff on compliance procedures and ethical guidelines
- Investigate potential violations and prepare comprehensive incident reports
- Liaise with legal counsel and regulatory bodies during examinations
- Maintain accurate compliance documentation in regulatory databases
- Lead remediation efforts for identified compliance gaps
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services or tech sector
- Active CCEP or CAMS certification
- Proficiency with compliance management software (e.g., MetricStream, RSA Archer)
- Strong knowledge of AML, KYC, and anti-fraud regulations
- Exceptional analytical and problem-solving abilities
- Proven track record of regulatory reporting accuracy
- Ability to start immediately with flexible interview scheduling