Job Description
Join our award-winning compliance team at Global Financial Services Inc. in Santa Ana, CA! We're seeking a meticulous Compliance Officer to safeguard our operations against regulatory risks. Enjoy competitive benefits, hybrid work options, and opportunities for career growth in a dynamic financial services environment.
Responsibilities
- Monitor regulatory changes (FINRA, SEC, OCC) and implement compliance protocols
- Conduct internal audits and risk assessments across business units
- Develop training programs for staff on compliance policies and procedures
- Investigate potential violations and prepare regulatory reports
- Collaborate with legal and risk management teams on compliance frameworks
- Maintain compliance documentation and audit trails
- Advise senior leadership on regulatory implications of business decisions
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Active CRCM or CAMS certification required
- Proficiency with compliance software (e.g., ComplySci, MetricStream)
- Strong knowledge of federal/state financial regulations
- Exceptional analytical and problem-solving abilities
- Excellent written/verbal communication skills
- Experience managing compliance audits and investigations