Job Description
Join our award-winning compliance team in the heart of Los Angeles! Global Financial Services is seeking a meticulous Compliance Officer to safeguard our organization's regulatory integrity. We're offering a competitive sign-on bonus for qualified candidates ready to make an impact. This hybrid role combines strategic oversight with hands-on regulatory navigation in the fast-paced financial services sector. Enjoy a supportive culture where compliance expertise drives real business success.
As a key member of our Risk Management Division, you'll shape compliance frameworks while enjoying competitive benefits, professional development opportunities, and a location in LA's vibrant business district. Apply today to become part of our mission to maintain ethical excellence in global finance.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with federal regulations (Dodd-Frank, AML) and industry standards
- Conduct risk assessments and internal audits to identify compliance vulnerabilities
- Monitor regulatory changes and update policies across 15+ business units
- Lead investigations into compliance breaches and recommend corrective actions
- Collaborate with Legal and Operations teams to embed compliance controls
- Train 200+ employees on regulatory requirements and ethical standards
- Prepare detailed reports for executive leadership and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Law, or related field; Master's preferred
- 5+ years compliance experience in financial services or fintech
- Certified Compliance & Ethics Professional (CCEP) designation required
- Expertise in FINRA, SEC, and California regulatory frameworks
- Advanced proficiency in compliance software (e.g., LogicGate, MetricStream)
- Exceptional analytical skills with attention to detail
- Strong written/verbal communication with presentation experience