Job Description
Join our award-winning financial services team in Anaheim as a Compliance Officer and receive an exclusive $15,000 sign-on bonus! We're seeking a detail-oriented professional to ensure regulatory adherence while driving innovation in compliance frameworks. Enjoy competitive benefits, remote flexibility options, and career advancement opportunities in a dynamic environment.
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 200+ employees
- Manage AML/KYC procedures and Suspicious Activity Reporting (SAR)
- Collaborate with legal team on regulatory examinations and enforcement actions
- Prepare comprehensive compliance reports for executive leadership
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 5+ years compliance experience in financial services
- CAMS or CRCM certification preferred
- Proficiency with compliance software (e.g., ComplySci, NASDTrack)
- Strong analytical skills with attention to regulatory nuances
- Experience managing compliance audits and examinations
- Excellent written/verbal communication skills