Job Description
Join our dynamic compliance team at Global Financial Solutions Inc. and accelerate your career with an exclusive $15,000 sign-on bonus! We're seeking a meticulous Compliance Officer to safeguard our operations in the vibrant heart of Los Angeles. As a key member of our risk management division, you'll ensure adherence to federal regulations (including FINRA, SEC, and Dodd-Frank) while driving ethical excellence across all business units. This premium opportunity combines competitive compensation with professional growth in a forward-thinking financial environment.
Responsibilities
- Develop and implement comprehensive compliance monitoring programs across banking, investment, and fintech divisions
- Conduct high-stakes regulatory audits and prepare detailed reports for executive leadership
- Lead cross-functional investigations into potential compliance breaches and remediation efforts
- Design and deliver compliance training programs for 200+ employees using LMS platforms
- Collaborate with legal counsel to update policies in response to evolving regulatory landscapes
- Manage compliance documentation and maintain audit-ready records per FINRA requirements
Qualifications
- Bachelor's degree in Finance, Law, or related field (MBA/JD preferred)
- 5+ years of compliance experience in financial services or fintech
- Active CCEP (Certified Compliance & Ethics Professional) designation required
- Proven expertise in CA AML/BCT regulations and SEC reporting standards
- Advanced proficiency in compliance software (e.g., Diligent, MetricStream)
- Exceptional analytical skills with experience in risk-based testing methodologies
- Strong written/verbal communication with ability to present to C-suite executives