Job Description
Join our dynamic team as a Compliance Officer in Irvine, CA! We're seeking a detail-oriented professional to ensure regulatory adherence and drive ethical practices across our financial operations. This hybrid role offers competitive compensation, comprehensive benefits, and immediate start date. Leverage your expertise in regulatory frameworks to safeguard our organization while advancing your career in compliance.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, state regulations)
- Conduct internal audits and compliance risk assessments
- Develop/implement compliance policies and procedures
- Train staff on compliance protocols and ethics guidelines
- Investigate potential violations and recommend corrective actions
- Maintain accurate compliance documentation and reporting
- Collaborate with legal and senior leadership on compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- Certification (CRCM, CAMS, or CCEP) preferred
- Strong knowledge of federal/state regulations
- Excellent analytical and problem-solving skills
- Proficiency in compliance management software
- Exceptional written and verbal communication abilities
- Ability to thrive in fast-paced, regulated environment