Job Description
Join our award-winning financial services firm as a Compliance Officer in Los Angeles! We're seeking a detail-oriented professional to start immediately and safeguard our regulatory integrity. This hybrid role offers competitive compensation, comprehensive benefits, and career growth opportunities in a dynamic, compliance-driven environment. If you're passionate about ethical standards and want to make an immediate impact, apply today!
Responsibilities
- Monitor and ensure adherence to federal regulations (Dodd-Frank, AML, SEC) and internal policies
- Conduct risk assessments and implement corrective actions for compliance gaps
- Develop and deliver compliance training programs to staff across departments
- Prepare regulatory reports and maintain accurate documentation for audits
- Collaborate with legal teams on policy updates and regulatory changes
- Investigate and resolve compliance violations with appropriate remediation
- Stay current with industry regulations through continuous research
Qualifications
- Bachelor's degree in Finance, Law, Business, or related field
- 3+ years of compliance experience in financial services
- Certification in compliance (CCEP, CRCM) or regulatory affairs preferred
- Proficiency with compliance software (e.g., RegTech platforms)
- Strong analytical skills with attention to detail
- Excellent written/verbal communication skills
- Ability to thrive in fast-paced, deadline-driven environments
- Experience with multi-state regulatory frameworks