Job Description
Join our dynamic team as a Compliance Officer in sunny Anaheim, CA! We're offering a competitive salary plus a $10,000 sign-on bonus for qualified candidates who can ensure regulatory adherence and implement robust compliance frameworks. This role is perfect for detail-oriented professionals passionate about safeguarding organizational integrity while working in Southern California's vibrant business hub.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (SEC, FINRA, etc.)
- Conduct risk assessments and internal audits for financial products/services
- Train staff on compliance protocols and regulatory updates
- Investigate potential violations and prepare detailed reports
- Collaborate with legal/audit teams on compliance initiatives
- Stay current on industry regulations via continuous research
- Maintain accurate compliance documentation and records
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and AML requirements
- Relevant certifications (CRCM, CAMS, or CCEP) preferred
- Excellent analytical and problem-solving abilities
- Exceptional written/verbal communication skills
- Proficient in compliance software (e.g., ComplianceEase, Adenza)