Job Description
Join our dynamic team at Innovate Financial Solutions as a Compliance Officer in the heart of San Jose's thriving tech hub. You'll be pivotal in safeguarding our organization's integrity while navigating complex regulatory landscapes. This role offers competitive compensation, comprehensive benefits, and the opportunity to shape compliance strategy in a forward-thinking environment.
We're seeking a detail-oriented professional passionate about regulatory excellence. If you thrive in fast-paced settings and want to make a tangible impact, apply today to become a cornerstone of our compliance framework.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and federal regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Provide guidance on regulatory changes and update company policies accordingly
- Investigate potential violations and recommend corrective actions
- Train employees on compliance protocols and ethical standards
- Collaborate with legal and executive teams on compliance strategy
- Prepare detailed compliance reports for stakeholders and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services or tech
- FINRA Series 24, 26, or 27 certifications preferred
- Proficiency with compliance management software (e.g., Compliance.ai, MetricStream)
- Strong analytical skills with attention to detail
- Excellent written and verbal communication abilities
- Experience with AML, KYC, and anti-fraud regulations
- Ability to thrive in deadline-driven environments