Job Description
Join our dynamic compliance team in the heart of San Francisco! We're seeking an experienced Compliance Officer to join us immediately for a high-impact contract role. You'll ensure regulatory adherence while driving our ethical standards forward in a fast-paced fintech environment. This is your chance to make an immediate impact while working with industry leaders.
Responsibilities
- Monitor regulatory changes and update compliance policies accordingly
- Conduct internal audits and risk assessments across all business units
- Develop and implement compliance training programs for staff
- Investigate and resolve compliance violations promptly
- Prepare detailed reports for senior management and regulatory bodies
- Collaborate with legal and finance teams on compliance initiatives
- Manage compliance documentation and record-keeping systems
Qualifications
- Bachelor's degree in Finance, Law, or related field required
- 5+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and CA state regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., Compliance.ai, Diligence Engine)
- Ability to thrive in deadline-driven environments