Job Description
Join our dynamic team as an Immediate Hire Compliance Officer in San Francisco! We're seeking a meticulous professional to ensure regulatory adherence and drive ethical business practices. This high-impact role offers rapid onboarding and career growth in a forward-thinking financial environment.
Responsibilities
- Monitor regulatory changes (FINRA, SEC, AML) and implement compliance protocols
- Conduct internal audits and risk assessments across business units
- Develop/maintain compliance policies and training programs
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and executive teams on compliance strategy
- Prepare regulatory reports and disclosures
- Lead compliance initiatives for new product launches
Qualifications
- 5+ years compliance experience in financial services
- Certified Compliance & Ethics Professional (CCEP) required
- Expertise in FINRA/SEC regulations and AML protocols
- Strong analytical and investigative skills
- Experience with compliance software (e.g., MetricStream, OneTrust)
- Ability to thrive in fast-paced, deadline-driven environments
- Exceptional written communication and documentation abilities