Job Description
Join Global Innovations Inc., a leading financial services firm, as our Compliance Officer in Anaheim. You'll safeguard our operations by ensuring adherence to federal, state, and industry regulations while driving a culture of compliance excellence. This direct-hire role offers competitive benefits, career growth, and the opportunity to make a tangible impact in a dynamic environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and California DBO regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare regulatory reports and maintain accurate compliance documentation
- Train staff on compliance policies and regulatory updates
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and audit teams on compliance initiatives
- Stay current on regulatory changes and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- FINRA Series 24 or 26 certification required
- Strong knowledge of federal and California financial regulations
- Experience with compliance management software (e.g., OnBase, Compliance.ai)
- Exceptional analytical and problem-solving skills
- Proven ability to communicate complex regulatory concepts clearly
- Detail-oriented with meticulous documentation habits