Job Description
Join our dynamic compliance team at Global Tech Compliance Inc. where we prioritize regulatory excellence and employee support. As a Compliance Officer, you'll ensure adherence to federal, state, and industry regulations while safeguarding our operations. We provide all necessary equipment including ergonomic workstations, dual monitors, secure VPN access, and compliance software licenses to maximize your efficiency and comfort. This role offers hybrid flexibility with 3 days in our San Jose office and 2 remote days weekly.
Responsibilities
- Develop, implement, and monitor compliance programs for financial services regulations (SOX, FINRA, SEC)
- Conduct internal audits and risk assessments across all departments
- Investigate compliance breaches and recommend corrective actions
- Train employees on regulatory requirements and ethical standards
- Stay updated on regulatory changes and advise leadership on impacts
- Maintain compliance documentation and reporting systems
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Law, or related field; MBA or JD preferred
- 5+ years compliance experience in financial services or tech
- Certified Compliance & Ethics Professional (CCEP) designation
- Expert knowledge of CA financial regulations and SEC guidelines
- Proficient in compliance software (e.g., Diligent, OneTrust)
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills
- Experience managing compliance audits and remediation projects