Job Description
Join our dynamic compliance team as a Part-Time Compliance Officer and safeguard our organization's regulatory integrity. This hybrid role offers flexible hours while ensuring adherence to federal, state, and industry regulations. You'll collaborate with cross-functional teams to implement compliance frameworks, conduct risk assessments, and maintain audit trails. Perfect for detail-oriented professionals seeking impactful part-time work in Oakland's thriving financial sector.
Responsibilities
- Monitor regulatory changes and update compliance policies accordingly
- Conduct internal audits and risk assessments for operational departments
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on compliance procedures and ethical standards
- Investigate potential violations and recommend corrective actions
- Maintain accurate documentation of compliance activities
- Collaborate with legal counsel on regulatory interpretations
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance/regulatory experience
- Strong knowledge of FINRA, SEC, and California state regulations
- Proficient in compliance software (e.g., ComplianceEase, Diligent)
- Exceptional written and verbal communication skills
- Certified Regulatory Compliance Manager (CRCM) preferred
- Ability to work independently with minimal supervision
- Experience with financial services or fintech industry