Job Description
Join our dynamic team at Global Financial Services Inc. as a Compliance Officer in Anaheim, CA. This pivotal role ensures adherence to federal regulations, industry standards, and internal policies while mitigating financial and operational risks. We offer a collaborative environment with growth opportunities and competitive benefits. If you're passionate about ethical business practices and regulatory excellence, apply today to shape our compliance framework!
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed reports for senior management and regulatory bodies
- Train employees on compliance policies and regulatory updates
- Investigate potential violations and recommend corrective actions
- Stay current on evolving financial regulations and industry trends
- Collaborate with legal, audit, and operations teams to ensure cohesive compliance
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or CCEP designation preferred
- Strong knowledge of FINRA, SEC, and California state regulations
- Exceptional analytical and problem-solving skills
- Advanced proficiency in compliance software and MS Office Suite
- Excellent written/verbal communication and presentation abilities
- Proven ability to work independently in a fast-paced environment