Job Description
Join our dynamic compliance team at Pacific Financial Services and make an immediate impact on our regulatory framework. We're seeking a detail-oriented Compliance Officer to ensure adherence to federal, state, and industry regulations while fostering a culture of ethical business practices. This urgent opening requires a proactive professional to navigate complex compliance landscapes and implement robust risk mitigation strategies. Enjoy competitive compensation, comprehensive benefits, and the opportunity to grow within a leading financial institution.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and federal regulations
- Conduct regular internal audits and risk assessments to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Provide regulatory training to staff across all departments
- Stay current on evolving compliance requirements and industry trends
- Collaborate with legal and senior leadership on compliance initiatives
- Prepare detailed compliance reports for regulatory bodies and internal stakeholders
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 63/65/66 certifications required
- Expert knowledge of federal and state banking regulations
- Strong analytical and investigative skills
- Exceptional written and verbal communication abilities
- Proficient with compliance management software (e.g., Compliance.ai, LogicGate)
- Ability to thrive in fast-paced, deadline-driven environments