Job Description
Join our elite compliance team in Santa Ana, CA, where we safeguard financial integrity and regulatory excellence. Global Financial Solutions Inc. seeks a meticulous Compliance Officer to navigate complex regulatory landscapes and drive our organization's ethical framework. Enjoy competitive compensation, comprehensive benefits, and career growth in a dynamic finance environment.
Responsibilities
- Monitor regulatory changes (FINRA, SEC, OCC) and implement compliance protocols
- Conduct internal audits and risk assessments across financial operations
- Develop and maintain compliance policies/procedures with 100% audit-readiness
- Train staff on regulatory requirements and ethical standards
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and audit teams for seamless compliance integration
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Certifications (CRCM, CAMS, CCEP) highly desirable
- Expert knowledge of federal/state financial regulations
- Advanced analytical and problem-solving skills
- Exceptional written/verbal communication abilities