Job Description
Join our dynamic compliance team as a Compliance Officer in Anaheim, CA! We're urgently seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks. This high-impact role offers competitive compensation, comprehensive benefits, and career growth opportunities in a thriving industry.
As a key member of our compliance department, you'll develop and implement policies, conduct audits, and maintain regulatory documentation. Our collaborative environment values innovation and professional development, making this an ideal opportunity for compliance professionals looking to advance their careers.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (Dodd-Frank, SOX, AML)
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory requirements and compliance protocols
- Stay updated on industry regulations and emerging compliance trends
- Collaborate with legal and finance teams to ensure cross-functional compliance
- Manage compliance documentation and maintain audit trails
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services or regulated industry
- Strong knowledge of federal/state compliance regulations
- Certified Compliance & Ethics Professional (CCEP) designation required
- Excellent analytical and problem-solving skills
- Advanced proficiency in MS Office and compliance software
- Exceptional communication and presentation abilities
- Ability to work independently and manage competing priorities