Job Description
Join our dynamic team as a Compliance Officer in sunny San Diego! We're seeking a detail-oriented professional to ensure regulatory adherence while enjoying flexible scheduling options. This hybrid role combines remote work with in-office collaboration, allowing you to achieve work-life balance without compromising impact. You'll be instrumental in safeguarding our organization's integrity while working with cutting-edge compliance technologies. Apply today to elevate your career in a supportive, growth-oriented environment.
Responsibilities
- Monitor regulatory changes and implement compliance procedures across all business units
- Conduct risk assessments and internal audits to identify potential compliance gaps
- Develop and deliver comprehensive compliance training programs for staff
- Investigate and resolve compliance violations with detailed documentation
- Collaborate with legal and executive teams on regulatory reporting requirements
- Maintain accurate compliance records and prepare regulatory filings
- Stay current on FINRA, SEC, and state-specific financial regulations
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Strong knowledge of federal/state regulations (Dodd-Frank, AML, etc.)
- Certification (CRCM, CAMS, or CCEP) highly desirable
- Exceptional analytical and problem-solving abilities
- Proven experience developing compliance frameworks
- Excellent written/verbal communication skills
- Proficiency with compliance software and data analysis tools