Job Description
Join our dynamic compliance team in Oakland as a part-time Compliance Officer with flexible scheduling options. This role is perfect for professionals seeking work-life balance while contributing to regulatory excellence in the financial services sector. Enjoy a hybrid work environment with adjustable hours to fit your lifestyle. We offer competitive compensation, professional development opportunities, and a supportive culture focused on integrity and innovation. Help us navigate complex regulatory landscapes while maintaining our commitment to ethical business practices.
Responsibilities
- Monitor and ensure adherence to federal, state, and local regulations including FINRA, SEC, and California-specific requirements
- Conduct internal audits and compliance reviews with detailed reporting to senior management
- Develop and implement compliance policies, procedures, and training programs
- Investigate potential compliance violations and recommend corrective actions
- Stay current on regulatory changes and update compliance frameworks accordingly
- Collaborate with legal, risk, and business units to address compliance challenges
- Maintain accurate compliance documentation and reporting systems
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services or regulated industry
- Strong knowledge of FINRA, SEC, and California regulatory requirements
- Excellent analytical and problem-solving skills with attention to detail
- Ability to work independently with minimal supervision
- Strong written and verbal communication skills
- Professional certifications (CRCM, CCEP, or similar) highly desirable
- Proficiency in compliance software and MS Office Suite