Job Description
Join Oakland Financial Group as a Remote Compliance Officer and drive ethical excellence in our dynamic financial services environment. We're seeking a detail-oriented professional to safeguard regulatory compliance while enjoying the flexibility of full-time remote work. You'll collaborate with cross-functional teams to ensure adherence to federal regulations (FINRA, SEC, OCC) and internal policies, all while supporting our commitment to financial integrity and client protection. Enjoy competitive compensation, comprehensive benefits, and a culture that values work-life balance.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA/SEC regulations
- Conduct risk assessments and internal audits for financial products/services
- Advise leadership on regulatory changes and compliance implications
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain compliance documentation
- Train staff on compliance policies and procedures
- Collaborate with legal team on regulatory updates
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 5+ years compliance experience in financial services
- FINRA Series 63/65/66 licenses required
- Strong knowledge of federal/state banking regulations
- Advanced analytical and problem-solving skills
- Experience with compliance software (e.g., Adenza, MetricStream)
- Exceptional written/verbal communication abilities
- Proven ability to work independently in remote settings