Job Description
Join FinSecure Global's dynamic compliance team in the heart of Silicon Valley! We're seeking a meticulous Compliance Officer to safeguard our operations against regulatory risks while driving ethical business excellence. This hybrid role offers the perfect blend of strategic oversight and hands-on implementation in a fast-paced fintech environment. You'll collaborate with cross-functional teams to ensure adherence to federal, state, and industry regulations while contributing to our culture of integrity.
Responsibilities
- Develop, implement, and maintain comprehensive compliance programs aligned with FINRA, SEC, and CA state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Investigate regulatory violations and recommend corrective actions with detailed documentation
- Provide compliance training to employees across all departments
- Monitor regulatory changes and update policies/procedures accordingly
- Liaise with legal counsel and external regulators during examinations
- Maintain accurate compliance records and reporting systems
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or fintech
- FINRA Series 7, 63, and 24 certifications (or equivalent)
- Deep knowledge of CA DBO regulations and federal banking laws
- Strong analytical skills with proficiency in compliance software (e.g., MetricStream, RSA Archer)
- Excellent written/verbal communication and presentation abilities
- Proven track record of developing compliance frameworks from ground up
- Certified Regulatory Compliance Manager (CRCM) designation a plus