Job Description
Join our dynamic compliance team at Global Financial Solutions Inc. and make an immediate impact! We're seeking a detail-oriented Compliance Officer to start tomorrow at our Irvine headquarters. This is your opportunity to shape regulatory frameworks while working with industry-leading professionals in a supportive, fast-paced environment. Enjoy competitive compensation, comprehensive benefits, and career advancement opportunities.
Responsibilities
- Develop, implement, and monitor compliance programs adhering to federal/state regulations (SEC, FINRA, etc.)
- Conduct regular risk assessments and internal audits for financial services operations
- Prepare comprehensive compliance reports for executive stakeholders and regulatory bodies
- Train staff on regulatory updates and ethical standards through workshops and materials
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and risk management teams on policy development
- Stay current on industry regulations through continuous research
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services or fintech
- Strong knowledge of SEC, FINRA, and California state regulations
- Certifications (CRCM, CAMS, or CCEP) highly desirable
- Exceptional analytical and problem-solving abilities
- Proficient in compliance software (e.g., NASD, ComplySci)
- Excellent written/verbal communication skills
- Ability to prioritize tasks in a deadline-driven environment