Job Description
Join our dynamic compliance team in Los Angeles and become a guardian of ethical business practices. We're seeking a detail-oriented Compliance Officer to ensure adherence to federal regulations, internal policies, and industry standards. This role offers immediate start for qualified candidates who thrive in fast-paced environments and possess a passion for regulatory excellence.
Why Join Us? Comprehensive benefits package, flexible work arrangements, and opportunities for career advancement in a Fortune 500 financial institution.
Responsibilities
- Monitor regulatory changes (FINRA, SEC, OCC) and implement updated compliance protocols
- Conduct internal audits and risk assessments across all business units
- Develop and deliver compliance training programs to 200+ employees
- Investigate potential violations and recommend corrective actions
- Maintain accurate compliance documentation and reporting systems
- Collaborate with legal department on regulatory filings and inquiries
- Lead AML/KYC program implementation and monitoring
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 3+ years compliance experience in financial services
- FINRA Series 24 or 26 license required
- Strong knowledge of California state financial regulations
- Advanced proficiency in compliance software (e.g., MetricStream, RSA Archer)
- Excellent analytical and problem-solving abilities
- Professional certifications (CRCM, CAMS) highly valued
- Ability to thrive in deadline-driven environments