Job Description
Join our dynamic team at Oakland Financial Services as a Part-Time Compliance Officer. We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. This role offers flexible hours (20-25 hours/week) while making a significant impact on our operational integrity.
Our ideal candidate will thrive in a collaborative setting where precision meets innovation. You'll work closely with legal, audit, and senior leadership to implement best practices and maintain compliance with federal, state, and industry regulations. If you're passionate about safeguarding organizational integrity and want to contribute to a mission-driven company, we encourage you to apply today.
Responsibilities
- Monitor and ensure adherence to FINRA, SEC, and California DFI regulations
- Conduct internal audits and compliance assessments across financial products
- Develop and implement compliance policies and procedures
- Investigate and resolve compliance violations through root cause analysis
- Prepare detailed compliance reports for executive leadership
- Train staff on regulatory updates and compliance protocols
- Collaborate with legal counsel on regulatory changes and risk mitigation
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- 3+ years of compliance experience in financial services
- Strong knowledge of federal and California financial regulations
- Proficiency with compliance software (e.g., ComplianceEase, Wolters Kluwer)
- Excellent analytical and problem-solving abilities
- Exceptional written and verbal communication skills
- Certification (CRCM, CAMS, or CCEP) preferred