Job Description
Join our dynamic team as a Compliance Officer in Anaheim, CA! You will be instrumental in ensuring regulatory adherence and mitigating risks across all business operations. This direct hire opportunity offers competitive compensation, career growth, and the chance to make a tangible impact in a thriving industry.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal/state regulations (e.g., FINRA, SEC, BSA)
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on compliance policies, procedures, and regulatory updates
- Investigate potential violations and recommend corrective actions
- Stay current on evolving industry regulations and adapt protocols accordingly
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Certified Regulatory Compliance Manager (CRCM) or equivalent designation
- Proficiency with compliance software (e.g., RSA Archer, OnBase)
- Strong analytical skills with attention to detail
- Excellent written/verbal communication abilities
- Ability to thrive in a fast-paced, deadline-driven environment