Job Description
Join our dynamic team as a Compliance Officer with flexible hours to maintain regulatory excellence! This hybrid role (3 days office/2 days remote) offers the perfect work-life balance while you safeguard our organization's integrity. You'll develop robust compliance frameworks, conduct risk assessments, and ensure adherence to FINRA, SEC, and CA state regulations. Enjoy competitive benefits including unlimited PTO, professional development stipends, and a collaborative culture that values work-life integration.
Responsibilities
- Design and implement compliance programs aligned with federal/state regulations
- Conduct internal audits and regulatory examinations
- Monitor policy adherence and report on KPIs to leadership
- Train staff on compliance protocols and regulatory updates
- Investigate violations and recommend corrective actions
- Stay current on emerging regulations (e.g., CCPA, FINRA rules)
- Collaborate with legal and operations teams on risk mitigation
Qualifications
- Bachelor's degree in Finance, Law, or related field
- 5+ years compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) preferred
- Expertise in CA financial regulations and FINRA rules
- Strong analytical and risk assessment skills
- Exceptional written/verbal communication abilities
- Proficiency with compliance software (e.g., MetricStream)
- Ability to work independently with flexible schedules