Job Description
Join our award-winning financial institution as a key guardian of regulatory integrity. Pacific Financial Partners Inc. is seeking a dynamic Senior Compliance Officer to lead our compliance framework in Southern California's thriving business hub. This pivotal role combines strategic oversight with hands-on execution to ensure adherence to federal, state, and industry regulations while fostering a culture of ethical excellence.
As an integral member of our executive team, you'll drive compliance initiatives across lending, investment, and data privacy operations. Our Chula Vista headquarters offers a collaborative environment where your expertise will directly influence organizational growth and risk mitigation. Enjoy competitive benefits including performance bonuses, professional development stipends, and a hybrid work arrangement.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with FINRA, SEC, and CFPB regulations
- Conduct regular risk assessments and internal audits to identify regulatory vulnerabilities
- Lead investigations into compliance breaches and recommend corrective actions
- Collaborate with legal and operations teams to update policies and procedures
- Provide ongoing compliance training to staff across all departments
- Prepare regulatory reports and maintain meticulous documentation
- Stay current on evolving financial regulations through continuous professional development
Qualifications
- Bachelor's degree in Finance, Business Administration, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Professional certifications (CRCM, CAMS, or CCEP) strongly preferred
- Expert knowledge of federal financial regulations (Dodd-Frank, BSA/AML)
- Proven track record of designing compliance frameworks
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills
- Experience with compliance management software (e.g., LogicGate, Encompass)