Job Description
Join our dynamic team as a Compliance Officer in Santa Ana, CA! You'll be instrumental in safeguarding our organization's integrity by ensuring adherence to regulatory standards. This premium role offers competitive compensation, career growth opportunities, and the chance to make a tangible impact in a thriving financial hub. We're seeking a proactive professional who thrives in detail-oriented environments and is passionate about ethical business practices.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, OCC) to update compliance policies
- Conduct internal audits and risk assessments across all business units
- Develop and deliver compliance training programs for 200+ employees
- Investigate potential violations and implement corrective action plans
- Liaise with legal counsel and regulatory agencies during examinations
- Maintain accurate compliance documentation and reporting systems
- Lead cross-functional committees to drive compliance culture
Qualifications
- Bachelor's degree in Finance, Business, or Law (Master's preferred)
- 5+ years compliance experience in financial services
- Certified Compliance & Ethics Professional (CCEP) designation
- Expertise in AML, BSA, and Dodd-Frank regulations
- Advanced analytical skills with regulatory interpretation experience
- Strong written/verbal communication abilities
- Proficiency in compliance software (e.g., MetricStream, Salesforce)