Job Description
Join our dynamic team at Global Financial Solutions Inc. as a Compliance Officer in Irvine, CA. This is your opportunity to make an immediate impact in a forward-thinking financial services firm. We offer a collaborative environment where your expertise will drive regulatory excellence and operational integrity. With competitive benefits, professional development opportunities, and a culture that values innovation, you'll thrive in this critical role. Start tomorrow and shape our compliance framework while advancing your career in one of California's most vibrant business hubs.
Responsibilities
- Develop, implement, and monitor compliance programs adhering to federal, state, and industry regulations
- Conduct thorough risk assessments and internal audits to identify compliance gaps
- Provide expert guidance to cross-functional teams on regulatory requirements
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Stay current on evolving regulatory landscape and update policies accordingly
- Lead investigations of compliance violations and recommend corrective actions
- Train staff on compliance protocols and ethical standards
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
- Strong knowledge of FINRA, SEC, and California DFI regulations
- Excellent analytical skills with attention to detail
- Proven ability to interpret complex regulatory frameworks
- Strong written and verbal communication skills
- Professional certifications (CRCM, CAMS, or CCEP) highly desirable
- Proficiency in compliance management software (e.g., Diligent, MetricStream)