Job Description
Join our dynamic team as a Compliance Officer at Global Financial Services Inc. in Anaheim, CA. You'll be instrumental in ensuring our organization adheres to federal, state, and industry regulations while maintaining ethical standards. We offer a collaborative environment with competitive benefits, professional development opportunities, and a commitment to work-life balance. Help us safeguard our operations and reputation while advancing your compliance career.
Responsibilities
- Develop, implement, and monitor compliance programs to mitigate regulatory risks
- Conduct regular audits and risk assessments across all departments
- Stay updated on regulatory changes (e.g., FINRA, SEC, CFPB) and advise stakeholders
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for senior leadership and regulatory bodies
- Train staff on compliance policies and procedures
- Collaborate with legal and internal audit teams
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Strong knowledge of financial regulations (e.g., Dodd-Frank, AML)
- Relevant certifications (e.g., CRCM, CAMS, CCEP)
- Excellent analytical and problem-solving skills
- Proficiency in compliance software (e.g., RSA Archer, MetricStream)
- Strong written and verbal communication abilities