Job Description
Join Oakland Financial Services as a Part-Time Compliance Officer and become a guardian of regulatory excellence! We're seeking a detail-driven professional to ensure adherence to federal regulations, internal policies, and industry standards. This hybrid role (3 days/week in Oakland office) offers the perfect blend of autonomy and collaboration for candidates seeking impactful part-time work. Help us maintain our reputation as a trusted financial institution while advancing your compliance career in the Bay Area's dynamic business landscape.
Responsibilities
- Monitor regulatory changes (FINRA, SEC, CA DBO) and update compliance frameworks accordingly
- Conduct internal audits of financial transactions and client documentation
- Develop and deliver compliance training programs to staff and partners
- Investigate potential violations and recommend corrective actions
- Maintain accurate compliance records and reporting documentation
- Collaborate with legal and risk management teams on policy development
- Respond to regulatory inquiries and examinations from authorities
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 2+ years of compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and CA financial laws
- Certified Compliance & Ethics Professional (CCEP) preferred
- Exceptional attention to detail and analytical skills
- Proficiency in compliance software (e.g., Certify, Compliance.ai)
- Ability to communicate complex regulations clearly to non-experts
- Valid California driver's license for occasional off-site meetings