Job Description
Join our award-winning compliance team at Pacific Financial Group and receive a $15,000 sign-on bonus for this critical Los Angeles role. We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence and drive ethical practices across our expanding West Coast operations. This hybrid position offers competitive compensation, comprehensive benefits, and career growth opportunities in one of America's most dynamic financial hubs.
Responsibilities
- Monitor and interpret federal/state regulations (FINRA, SEC, CA DBO) to ensure organizational compliance
- Develop and implement compliance policies, procedures, and training programs
- Conduct internal audits and investigations to identify/mitigate risks
- Collaborate with legal, operations, and audit teams on compliance initiatives
- Prepare detailed regulatory reports and maintain accurate documentation
- Advise stakeholders on regulatory changes and best practices
- Manage compliance hotline investigations and resolution processes
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Strong knowledge of CA financial regulations and FINRA/SEC rules
- Experience with compliance software (e.g., OnBase, ComplianceEase)
- Certifications (CRCM, CAMS, or CCEP) highly desirable
- Exceptional analytical and communication skills
- Ability to thrive in fast-paced, regulated environments