Job Description
Join our award-winning compliance team as a Compliance Officer in Santa Ana, CA. You'll be the guardian of ethical operations, ensuring our organization adheres to federal, state, and industry regulations while fostering a culture of integrity. This hybrid role offers remote flexibility with 2 office days per week in our modern downtown Santa Ana headquarters.
We're seeking a detail-oriented professional to develop compliance frameworks, conduct risk assessments, and lead training initiatives. With comprehensive benefits including health insurance, 401(k) matching, and professional development stipends, this is your opportunity to advance your career in a supportive environment.
Responsibilities
- Develop, implement, and monitor compliance programs across all business units
- Conduct internal audits and risk assessments to identify compliance gaps
- Stay current with regulatory changes (FINRA, SEC, CFPB, CA state laws)
- Deliver engaging compliance training to 200+ employees quarterly
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive leadership and regulators
- Collaborate with legal and HR teams on policy development
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services or regulated industry
- Certification (CRCM, CAMS, or CCEP) strongly preferred
- Advanced knowledge of CA state and federal regulations
- Exceptional analytical and problem-solving abilities
- Proficiency with compliance software (e.g., RSA Archer, MetricStream)
- Strong written and verbal communication skills
- Ability to manage competing priorities in a fast-paced environment