Job Description
Immediate opportunity for a Compliance Officer to join our dynamic team in San Francisco's vibrant Financial District! We're seeking a detail-oriented professional to ensure regulatory adherence while driving ethical business practices. This high-impact role offers rapid onboarding and competitive compensation. Join us in safeguarding our clients' financial integrity while advancing your compliance career in one of America's most innovative cities.
Responsibilities
- Monitor regulatory developments (FINRA, SEC, CFTC) and implement compliance frameworks
- Conduct internal audits and risk assessments across trading operations
- Develop and maintain compliance policies/procedures with legal counsel
- Train staff on AML, KYC, and anti-fraud protocols
- Investigate potential violations and prepare regulatory reports
- Collaborate with legal and audit teams on compliance initiatives
- Lead compliance reviews for new product launches
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- FINRA Series 24/27 or equivalent regulatory certifications
- Proficiency with compliance monitoring software (e.g., NASD CRD)
- Strong understanding of CA state-specific regulations
- Exceptional analytical and documentation skills
- Experience managing compliance investigations
- Proven ability to translate complex regulations for diverse teams