Job Description
Join our elite compliance team at TechGuard Solutions Inc., a leading fintech innovator in Silicon Valley. We're seeking a meticulous Senior Compliance Officer to safeguard our operations while driving strategic growth in a dynamic regulatory environment. This high-impact role offers unparalleled career advancement opportunities and a comprehensive benefits package including equity, 401k matching, and flexible work arrangements.
Position includes hybrid work model (3 days office/2 days remote) with competitive relocation assistance for qualified candidates.
Responsibilities
- Develop and implement robust compliance frameworks for FINRA, SEC, and California DFI regulations
- Conduct risk assessments and internal audits across 15+ product lines
- Lead regulatory reporting initiatives for $2B+ AUM portfolio
- Manage compliance training programs for 200+ employees
- Collaborate with legal and audit teams on incident response protocols
- Drive continuous improvement of compliance monitoring systems
- Serve as primary liaison with regulatory agencies during examinations
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's/JD preferred)
- 7+ years compliance experience in financial services or fintech
- FINRA Series 7, 24, and 63 licenses required
- Proven expertise in AML/KYC and regulatory reporting (BSA, CFTC)
- Advanced proficiency in compliance management software (e.g., MetricStream, RSA Archer)
- Strong analytical skills with experience in regulatory change management
- Exceptional communication abilities for cross-stakeholder engagement