Job Description
We're seeking a dynamic Compliance Officer to join our Oakland-based team immediately. This critical role ensures regulatory adherence while driving ethical business practices. You'll be the guardian of our operational integrity, working in a collaborative environment where your expertise directly shapes our compliance framework. Enjoy competitive compensation, comprehensive benefits, and the opportunity to make a tangible impact in a rapidly evolving financial landscape.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (FINRA, SEC, BSA)
- Conduct risk assessments and internal audits to identify compliance gaps
- Train staff on regulatory requirements and ethical standards
- Investigate violations and recommend corrective actions
- Prepare regulatory reports and maintain documentation
- Stay current on regulatory changes and industry best practices
- Collaborate with legal, risk, and operations teams
Qualifications
- Bachelor's degree in Finance, Business, or Law (Master's preferred)
- 5+ years compliance/regulatory experience in financial services
- FINRA Series 7, 63, and 24 certifications
- Expert knowledge of AML, KYC, and anti-fraud regulations
- Strong analytical and problem-solving abilities
- Excellent written/verbal communication skills
- Experience with compliance management software (e.g., Nasdaq, ComplyAdvantage)
- Ability to thrive in fast-paced, deadline-driven environments