Job Description
Join our award-winning compliance team at Aegis Financial Group, a leading fintech innovator in Irvine's thriving business ecosystem. We're seeking a meticulous Compliance Officer to safeguard our operations while driving ethical growth in a dynamic regulatory environment. Enjoy competitive benefits, hybrid work options, and career advancement opportunities in Orange County's premier business district.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (FINRA, SEC, CFPB)
- Conduct risk assessments and internal audits to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Train employees on regulatory requirements and ethical standards
- Prepare detailed compliance reports for executive stakeholders
- Collaborate with legal and operations teams on policy updates
- Stay current on evolving regulatory landscapes affecting financial services
Qualifications
- Bachelor's degree in Finance, Business, or related field (MBA/JD preferred)
- 5+ years compliance experience in financial services or fintech
- Certifications (CRCM, CCEP, CAMS) highly valued
- Proficiency with compliance software (e.g., Fiserv, Accuity)
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication skills
- Experience with AML/KYC protocols and transaction monitoring