Job Description
Join our dynamic team as a Compliance Officer at Pacific Coast Financial Services, where integrity meets innovation. Based in the heart of Santa Ana, you'll be pivotal in ensuring our financial operations adhere to stringent regulatory standards while fostering a culture of ethical excellence. This role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Responsibilities
- Monitor and interpret federal, state, and local regulations (e.g., FINRA, SEC, CFPB) to ensure organizational compliance
- Develop, implement, and maintain robust compliance policies and procedures
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Provide comprehensive compliance training to staff across all departments
- Investigate potential violations and recommend corrective actions
- Act as primary liaison with regulatory bodies during examinations
- Prepare detailed compliance reports for executive leadership and board members
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- Minimum 5 years of compliance experience in financial services
- Active FINRA Series 63, 65, or 26 license required
- Deep knowledge of AML, KYC, and anti-fraud regulations
- Proven ability to manage complex compliance projects
- Exceptional analytical and problem-solving skills
- Strong written/verbal communication and presentation abilities
- Experience with compliance software (e.g., NASD, ComplySci)