Job Description
Join our dynamic finance team in Anaheim as a Compliance Officer! We're urgently seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. This is a critical role requiring vigilance, expertise, and proactive problem-solving skills. Enjoy a competitive salary, comprehensive benefits package, and the opportunity to shape our compliance framework. Apply today to become part of our innovative team dedicated to ethical excellence!
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, CFPB) to update compliance policies
- Conduct internal audits and risk assessments across financial operations
- Develop and implement compliance training programs for staff
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain compliance documentation
- Collaborate with legal and audit teams on compliance initiatives
- Stay current on industry trends and emerging regulations
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- FINRA Series 63, 65, or 26 license preferred
- Advanced knowledge of financial regulations and compliance frameworks
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills
- Proficiency with compliance software (e.g., ComplianceEase, LogicGate)
- Ability to manage multiple deadlines in a regulated environment