Job Description
Join our dynamic team as a Compliance Officer in Oakland, CA, where we prioritize work-life balance through flexible hours arrangements. This role is perfect for professionals seeking to advance their career while maintaining personal flexibility. As a key guardian of regulatory standards, you'll ensure our operations align with federal, state, and industry regulations—all while enjoying a supportive, modern work environment.
We offer competitive compensation, comprehensive benefits, and opportunities for professional growth in Oakland's thriving financial sector. Apply today to become part of a company that values both compliance excellence and employee well-being.
Responsibilities
- Monitor and interpret regulatory changes (e.g., FINRA, SEC, CA DBO) to update compliance protocols
- Conduct internal audits and risk assessments across financial products and services
- Develop training programs for staff on compliance policies and procedures
- Investigate and resolve compliance violations with actionable corrective plans
- Collaborate with legal and leadership teams on compliance strategy implementation
- Maintain detailed compliance documentation and reporting systems
- Act as primary liaison with regulatory agencies during examinations
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services or regulated industry
- Strong knowledge of federal/state regulations (e.g., Dodd-Frank, CCPA)
- Excellent analytical skills with attention to detail
- Certifications (e.g., CRCM, CAMS) highly valued
- Proficient in compliance software (e.g., ComplianceEase, LogicGate)
- Exceptional communication skills for stakeholder education