Job Description
Join our dynamic compliance team at Oakland Financial Services Group, where integrity drives innovation. We're seeking a meticulous Part-Time Compliance Officer to safeguard our operations while maintaining exceptional client relationships. This hybrid role offers flexible hours (20-25/week) with competitive benefits and growth opportunities in Oakland's thriving financial sector.
Responsibilities
- Monitor regulatory changes (FINRA, SEC, CA DBO) and implement compliance protocols
- Conduct risk assessments and internal audits for financial products
- Prepare compliance reports for executive stakeholders and regulatory bodies
- Train staff on AML/KYC procedures and ethical guidelines
- Manage compliance documentation and audit trails
- Collaborate with legal team on regulatory submissions
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- FINRA Series 63/65/66 or equivalent CA license
- Proficiency with compliance software (e.g., ComplyAdvantage, Smartsheet)
- Strong analytical skills with attention to detail
- Excellent written/verbal communication abilities
- Ability to work independently with minimal supervision