Job Description
Join our award-winning compliance team as a Remote Compliance Officer and become a guardian of regulatory excellence. In this pivotal role, you'll safeguard our organization against financial crime, data breaches, and regulatory violations while working fully remotely from Santa Ana, CA. We offer competitive compensation, comprehensive benefits, and a culture that values innovation and work-life balance.
As a key member of our compliance division, you'll collaborate with cross-functional teams to develop robust compliance frameworks, conduct risk assessments, and ensure adherence to federal regulations including FINRA, SEC, and AML/CFT requirements. Our ideal candidate brings 3+ years of compliance experience and thrives in a dynamic, fast-paced environment.
Responsibilities
- Develop, implement, and monitor compliance programs across all business units
- Conduct internal audits and risk assessments to identify compliance gaps
- Investigate and resolve regulatory violations and non-conformities
- Stay current on regulatory changes and update compliance policies accordingly
- Train employees on compliance requirements and ethical standards
- Prepare detailed compliance reports for senior leadership and regulatory bodies
- Collaborate with legal and risk management teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance/regulatory experience in financial services
- Certification (CRCM, CAMS, or CCEP) strongly preferred
- Expert knowledge of FINRA, SEC, and AML regulations
- Advanced analytical skills with attention to detail
- Exceptional written and verbal communication abilities
- Proficiency in compliance software and data analysis tools
- Ability to work independently in a remote setting