Job Description
Join FinSecure Solutions as a Compliance Officer and enjoy the stability of weekly paychecks while shaping our regulatory framework. This pivotal role ensures adherence to federal and state financial regulations, protecting both our clients and our organization. Located in the heart of San Francisco's Financial District, you'll collaborate with cross-functional teams to implement robust compliance programs. We offer competitive compensation, comprehensive benefits, and a dynamic work environment where your expertise directly impacts our success.
Responsibilities
- Develop, implement, and maintain compliance policies aligned with FINRA, SEC, and California DFI regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update procedures accordingly
- Train staff on compliance protocols and regulatory requirements
- Investigate and resolve compliance breaches with corrective action plans
- Prepare detailed reports for senior management and regulatory bodies
- Liaise with legal counsel and external regulators during examinations
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7, 63, and 24 certifications required
- Expert knowledge of CA DFI and federal banking regulations
- Advanced proficiency in compliance management software (e.g., Compliance.ai)
- Exceptional analytical and problem-solving skills
- Strong written/verbal communication abilities
- Proven ability to thrive in fast-paced, regulated environments