Job Description
Join our dynamic compliance team at Vertex Financial Solutions, a leader in fintech innovation. We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence and foster a culture of integrity in our Glendale headquarters. This full-time role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a fast-paced environment.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, AML) to update compliance policies
- Conduct internal audits and risk assessments across financial products
- Develop and implement compliance training programs for 200+ employees
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain documentation trails
- Collaborate with legal and audit teams on compliance initiatives
- Lead compliance projects for new product launches
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 24, 26, or 27 certifications required
- Proficiency in compliance software (e.g., MetricStream, RSA Archer)
- Strong knowledge of federal/state banking regulations
- Excellent analytical and investigative skills
- Ability to communicate complex regulations to non-technical staff
- Experience managing compliance audits and examinations