Job Description
Join GlobalTrust Financial Services in Anaheim, CA as a Compliance Officer and receive a $15,000 sign-on bonus! We're seeking a detail-oriented professional to ensure regulatory compliance and mitigate risks in our dynamic financial services environment. This role offers competitive compensation, comprehensive benefits, and career growth opportunities in one of California's most vibrant cities. Apply today to secure your sign-on bonus!
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal/state regulations (FINRA, SEC, etc.)
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance requirements and ethical standards
- Investigate and resolve compliance violations through corrective actions
- Prepare regulatory reports and documentation for audits
- Collaborate with legal and executive teams on compliance strategies
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- FINRA Series 24/26/27/99 or equivalent certification
- Strong knowledge of CA financial regulations and AML/BSA requirements
- Exceptional analytical and problem-solving skills
- Experience with compliance software (e.g., MetricStream, Diligent)
- Ability to communicate complex regulations clearly to stakeholders
- Proven track record of reducing compliance risks