Job Description
Join our dynamic Irvine team as a Compliance Officer and enjoy the unique benefit of weekly pay! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. This role offers competitive compensation, comprehensive benefits, and the opportunity to make a tangible impact on our compliance framework.
Responsibilities
- Develop, implement, and monitor internal compliance programs aligned with federal/state regulations (FINRA, SEC, etc.)
- Conduct regular audits and risk assessments to identify compliance gaps
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory requirements and ethical standards
- Investigate potential violations and recommend corrective actions
- Stay current on evolving financial regulations through continuous research
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and banking compliance frameworks
- Excellent analytical skills with attention to detail
- Relevant certifications (CRCM, CAMS, CCEP) highly valued
- Proficiency in compliance management software (e.g., RSA Archer, LogicGate)