Job Description
Join our dynamic team as a Compliance Officer in San Francisco and play a pivotal role in ensuring regulatory excellence. This immediate hire opportunity offers a competitive salary, comprehensive benefits, and the chance to work in a fast-paced financial services environment. You'll collaborate with cross-functional teams to implement robust compliance frameworks while driving innovation in risk management. Our commitment to professional development includes ongoing training and certification support.
Responsibilities
- Develop and implement compliance programs aligned with federal regulations (Dodd-Frank, AML, SEC)
- Conduct risk assessments and monitor transactional activities for suspicious patterns
- Prepare regulatory reports and respond to inquiries from FINRA/SEC/DOJ
- Train staff on compliance policies and conduct periodic audits
- Stay current on regulatory changes and update internal procedures
- Collaborate with legal department on compliance investigations
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Certifications (CRCM, CAMS, CCEP) strongly preferred
- Deep knowledge of CA/NY state and federal regulations
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., Actimize, NICE Actimize)
- Strong written/verbal communication and presentation abilities