Job Description
Join our dynamic compliance team in Sacramento and earn a $10,000 sign-on bonus! Global Financial Services is seeking a detail-oriented Compliance Officer to ensure adherence to regulatory standards while driving ethical business practices. You'll be instrumental in safeguarding our operations through policy development, risk assessments, and regulatory reporting. This role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a collaborative environment.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal (FINRA, SEC, CFPB) and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Investigate regulatory violations and recommend corrective actions
- Prepare comprehensive reports for senior management and regulatory bodies
- Train staff on compliance policies and regulatory updates
- Monitor legislative changes and advise on impact to business operations
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 63/65/66 certifications required
- Advanced knowledge of CA financial regulations and BSA/AML protocols
- Strong analytical skills with proficiency in compliance software
- Excellent communication abilities for regulatory interactions
- Experience leading cross-functional compliance initiatives