Job Description
We're seeking a dynamic Compliance Officer to join our Oakland team immediately! As a critical guardian of regulatory integrity, you'll ensure adherence to federal and state financial regulations while driving our compliance framework forward. This urgent opening offers competitive compensation and the chance to make an immediate impact in a fast-paced environment.
Responsibilities
- Monitor regulatory changes and implement compliance policies across all financial operations
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed regulatory reports for federal agencies (SEC, FINRA, CFPB)
- Train staff on updated compliance protocols and ethical standards
- Manage vendor compliance due diligence and contract reviews
- Investigate potential violations and recommend corrective actions
Qualifications
- Bachelor's degree in Finance, Business, or Law (Master's preferred)
- 5+ years of compliance experience in financial services
- Active FINRA Series 63/65/66 licenses or equivalent certification
- Proven expertise in CA financial regulations (B&P Code, DFPI)
- Advanced knowledge of AML/KYC and anti-fraud frameworks
- Exceptional analytical skills with attention to detail
- Ability to thrive in deadline-driven environments