Job Description
Join Coastal Financial Solutions Inc. as a Compliance Officer and become a guardian of ethical excellence in our dynamic financial services environment. We're seeking a meticulous professional to ensure regulatory adherence across all operations while driving continuous improvement in our compliance framework. This role offers the opportunity to shape our compliance culture in a coastal California setting with competitive benefits and career advancement opportunities.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (FINRA, SEC, etc.)
- Conduct thorough risk assessments and internal audits to identify compliance gaps
- Provide expert guidance to departments on regulatory requirements and policy interpretation
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Lead investigations of compliance violations and recommend corrective actions
- Stay current with evolving financial regulations and update policies accordingly
- Train staff on compliance protocols and regulatory changes
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field required
- Minimum 3+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) designation preferred
- Deep knowledge of FINRA, SEC, and California state regulations
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills
- Proficiency with compliance management software (e.g., ComplianceEase
- Ability to thrive in fast-paced, deadline-driven environments