Job Description
Join ComplianceGuard Solutions as a Remote-Friendly Compliance Officer and become a guardian of ethical business practices. We're seeking a detail-oriented professional to ensure regulatory adherence across our financial services portfolio. This hybrid role (3 days remote/2 days in Santa Ana office) offers competitive benefits and career growth in a dynamic compliance environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (FINRA, SEC, CFPB)
- Conduct risk assessments and internal audits to identify compliance gaps
- Train employees on regulatory requirements and ethical standards
- Investigate violations and recommend corrective actions
- Prepare regulatory reports and disclosures for governing bodies
- Collaborate with legal and executive teams on policy updates
Qualifications
- Bachelor's degree in Finance, Law, or related field
- 5+ years compliance experience in financial services
- FINRA Series 63/65/66 certifications required
- Proficiency with compliance management software (e.g., Compliance.ai)
- Strong analytical skills with attention to detail
- Experience with SOX, AML, and GDPR regulations