Job Description
Join our dynamic compliance team at Global Financial Solutions Inc. in Anaheim, CA! We're seeking a meticulous Compliance Officer to safeguard our regulatory integrity while fostering a culture of ethical excellence. This hybrid role offers competitive compensation, growth opportunities, and the chance to impact financial compliance in Southern California's thriving business landscape.
Responsibilities
- Develop and implement robust compliance programs aligned with FINRA, SEC, and California state regulations
- Conduct thorough internal audits and risk assessments for financial operations
- Monitor regulatory changes and update organizational policies accordingly
- Train staff on compliance protocols and ethical conduct standards
- Investigate potential violations and recommend corrective actions
- Liaise with legal counsel and regulatory bodies during examinations
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- FINRA Series 63/65/66 certifications required
- Proficiency with compliance software (e.g., Diligent, OnBase)
- Strong analytical skills with attention to regulatory nuances
- Excellent written communication for policy documentation
- Experience with AML and BSA regulations