Job Description
Join our dynamic team as a Senior Compliance Officer at Pacific Financial Group, where we're shaping the future of ethical finance. In this pivotal role, you'll safeguard our organization by ensuring adherence to federal regulations, industry standards, and internal policies. We offer a collaborative environment with competitive benefits and opportunities for professional growth.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, OCC) to implement updated compliance protocols
- Conduct risk assessments and internal audits across all business units
- Develop and deliver compliance training programs for 200+ employees
- Manage investigation processes for potential violations and regulatory inquiries
- Collaborate with legal counsel on policy development and enforcement
- Prepare comprehensive reports for executive leadership and regulatory bodies
- Lead cross-functional initiatives to embed compliance into daily operations
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Active CRCM or CCEP certification required
- Expert knowledge of federal banking regulations and AML protocols
- Proven experience with compliance management software (e.g., MetricStream)
- Exceptional analytical and communication skills
- Ability to manage multiple priorities in a fast-paced environment
- Strong ethical judgment and decision-making capabilities