Job Description
We are looking for a meticulous and strategic Compliance Officer to join our team in Oakland, CA. As a leader in the financial services industry, Horizon Compliance Group is dedicated to maintaining the highest standards of integrity and regulatory adherence. We value a culture of transparency and innovation, and we offer a hybrid work environment that supports a healthy work-life balance while ensuring our compliance standards remain uncompromised.
In this pivotal role, you will serve as the guardian of our regulatory framework, ensuring our operations align with local, state, and federal laws. You will work closely with leadership to mitigate risk, interpret complex regulations, and foster a culture of compliance across the organization.
Responsibilities
- Monitor, interpret, and implement changes in federal, state, and local compliance laws and regulations relevant to the financial sector.
- Conduct regular internal audits and risk assessments to identify potential vulnerabilities and ensure operational compliance.
- Develop, update, and communicate internal policies, procedures, and code of conduct to all staff members.
- Investigate potential compliance violations and recommend corrective actions and remediation plans.
- Prepare and submit comprehensive compliance reports to senior management and external regulatory bodies.
- Provide ongoing training and guidance to employees on compliance-related topics and ethical standards.
- Collaborate with legal and operations teams to ensure new business initiatives meet regulatory requirements.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field.
- 3-5 years of professional experience in compliance, risk management, or a related regulatory role within the financial industry.
- Strong understanding of financial regulations, including FINRA, SEC rules, and state banking laws.
- Excellent analytical skills with the ability to interpret complex data and regulatory text.
- Exceptional communication skills, with the ability to explain complex concepts to non-technical stakeholders.
- Certification such as CCEP (Certified Compliance & Ethics Professional), CAMS (Certified Anti-Money Laundering Specialist), or CPA is highly preferred.