Job Description
Join our dynamic team as a Compliance Officer and start making an impact tomorrow! At Global Financial Solutions, we're seeking a dedicated professional to ensure regulatory adherence and foster a culture of compliance excellence. This urgent opening in Irvine offers the opportunity to work with cutting-edge financial technologies while safeguarding our operations. Apply today to begin your career journey immediately!
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, CFTC) to update compliance frameworks
- Conduct internal audits and risk assessments across financial products
- Develop and implement compliance training programs for 200+ employees
- Investigate potential violations and recommend corrective actions
- Liaise with legal counsel and regulatory bodies during examinations
- Maintain digital audit trails using RegTech platforms like ComplyAssistant
- Lead AML/KYC program enhancements per Bank Secrecy Act requirements
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 3+ years compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) designation required
- Advanced proficiency in regulatory reporting tools (e.g., FINRA CRD)
- Exceptional analytical and problem-solving abilities
- Strong written communication for policy documentation
- Experience with fintech compliance frameworks
- Ability to start within 48 hours of offer