Job Description
Join our dynamic compliance team in the heart of San Francisco and make a tangible impact on regulatory standards. We offer a competitive compensation package with weekly pay, comprehensive benefits, and a collaborative environment dedicated to excellence. As a Compliance Officer, you'll ensure our operations adhere to federal and state regulations while driving ethical business practices. This role is perfect for detail-oriented professionals seeking growth in a fast-paced financial services sector.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, state laws) to update compliance policies
- Conduct internal audits and risk assessments across all business units
- Develop and deliver compliance training programs for 200+ employees
- Investigate and resolve regulatory violations with corrective action plans
- Liaise with legal counsel and regulatory agencies during examinations
- Manage AML/KYC program adherence and suspicious activity reporting
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- FINRA Series 24/63/65/66 certifications required
- Expert knowledge of CA state financial regulations
- Proficient in compliance software (e.g., MetricStream, Compliance.ai)
- Strong analytical writing and presentation skills
- Experience managing regulatory examinations