Job Description
Join our dynamic team in Oakland as a Part-Time Compliance Officer where you'll safeguard our organization's integrity and regulatory standing. This role offers flexible hours while allowing you to make significant impacts in risk management and regulatory adherence. Perfect for professionals seeking work-life balance without compromising career growth.
Responsibilities
- Monitor and interpret regulatory updates from FINRA, SEC, and state authorities
- Conduct internal audits and compliance assessments across departments
- Develop and implement compliance policies and training programs
- Investigate and resolve compliance violations with documented corrective actions
- Prepare detailed compliance reports for executive leadership and board members
- Collaborate with legal and operations teams on compliance initiatives
- Maintain accurate compliance documentation and audit trails
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance/regulatory experience in financial services
- Strong knowledge of CA state and federal financial regulations
- Proficiency with compliance software and reporting tools
- Excellent analytical skills with attention to detail
- Effective written and verbal communication abilities
- Certified Compliance & Ethics Professional (CCEP) preferred
- Ability to work independently with minimal supervision