Job Description
Join our dynamic compliance team in Honolulu as a Compliance Officer where we provide all necessary equipment to ensure your success. This pivotal role ensures adherence to federal, state, and industry regulations while fostering a culture of ethical excellence. You'll work in a modern office environment with cutting-edge technology and dedicated resources to support your compliance initiatives.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and Hawaii state regulations
- Conduct thorough internal audits and risk assessments across financial operations
- Investigate and resolve compliance violations with detailed documentation
- Train staff on regulatory updates and best practices using provided materials
- Prepare comprehensive reports for executive leadership and regulatory bodies
- Collaborate with legal and risk management teams on compliance frameworks
- Stay current on evolving regulations through provided research tools
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services or regulated industry
- Active CRCM, CAMS, or equivalent compliance certification
- Deep knowledge of Hawaii state financial regulations and federal laws
- Proficient in compliance software and data analysis tools
- Exceptional written communication and report writing skills
- Ability to work independently with provided resources and equipment