Job Description
Join our dynamic compliance team in Oakland and make an immediate impact! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence and drive ethical practices across all operations. This urgent hire opportunity offers competitive compensation, career growth, and the chance to shape our compliance framework in a fast-paced financial services environment.
Responsibilities
- Monitor regulatory changes and implement compliance policies for federal/state regulations (e.g., FINRA, SEC, CA DBO)
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop training programs for staff on compliance protocols and ethics
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and senior leadership on compliance strategy
- Maintain detailed documentation and reporting for regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, or related field (MBA/JD preferred)
- 3+ years compliance experience in financial services or regulated industry
- Strong knowledge of CA and federal compliance regulations
- Relevant certifications (CRCM, CAMS, CCEP) highly desirable
- Exceptional analytical and problem-solving abilities
- Proven experience with compliance management software