Job Description
Join our award-winning compliance team as a Remote-Friendly Compliance Officer in San Jose, CA. We're seeking a strategic thinker to safeguard our organization's integrity while embracing flexible work arrangements. In this pivotal role, you'll shape our compliance framework and drive ethical business practices across all departments.
Our ideal candidate thrives in dynamic environments and possesses deep regulatory expertise. Enjoy competitive compensation, comprehensive benefits, and the opportunity to make tangible impact while working remotely. If you're ready to elevate your compliance career with a forward-thinking company, apply today!
Responsibilities
- Develop and implement comprehensive compliance programs aligned with FINRA, SEC, and California state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive leadership
- Collaborate with legal and audit teams on cross-functional initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services or fintech
- CCEP or CRCM certification required
- Expert knowledge of federal/state financial regulations
- Strong analytical and problem-solving abilities
- Exceptional written/verbal communication skills
- Experience with GRC platforms (e.g., MetricStream, RSA Archer)