Job Description
Join our dynamic compliance team at Global Financial Services Inc., a leading financial institution in Los Angeles. We're seeking a detail-oriented Compliance Officer to ensure adherence to federal and state regulations, mitigate risks, and uphold ethical standards. This role offers growth opportunities in a collaborative environment where your expertise directly impacts our regulatory integrity.
Responsibilities
- Monitor and interpret evolving financial regulations (e.g., Dodd-Frank, AML, BSA)
- Conduct internal audits and compliance assessments across departments
- Develop and implement compliance policies and training programs
- Investigate regulatory violations and recommend corrective actions
- Liaise with regulatory bodies (SEC, CFPB, FinCEN) during examinations
- Prepare comprehensive compliance reports for executive leadership
Qualifications
- Bachelor's degree in Finance, Law, or related field; MBA/JD preferred
- 3+ years of compliance experience in financial services
- Strong knowledge of CA financial regulations and SEC guidelines
- Certifications (e.g., CCEP, CAMS) highly valued
- Exceptional analytical and investigative skills
- Experience with compliance software (e.g., OnBase, Diligent)