Job Description
Immediate Hire Compliance Officer Opportunity in Oakland, CA!
Join our dynamic financial services team as a Compliance Officer and make an immediate impact. We're seeking a detail-oriented professional to ensure regulatory adherence while driving innovation in compliance frameworks. This hybrid role offers competitive compensation, comprehensive benefits, and rapid career progression.
Responsibilities
- Develop, implement, and monitor compliance programs aligning with federal/state regulations (FINRA, SEC, etc.)
- Conduct risk assessments and internal audits to identify compliance gaps
- Investigate and resolve regulatory inquiries and enforcement actions
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory changes and compliance protocols
- Collaborate with legal and operations teams to ensure policy alignment
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services or fintech
- Active FINRA Series 63/65/66 license required
- Expert knowledge of CA financial regulations and BSA/AML requirements
- Advanced proficiency in compliance software (e.g., Actimize, Nasdaq Comply)
- Strong analytical skills with attention to detail
- Excellent written/verbal communication abilities