Job Description
Join our dynamic finance team as a Senior Compliance Officer in Anaheim, CA! You'll be pivotal in ensuring regulatory adherence across all financial operations while driving our risk management framework forward. This hybrid role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a rapidly expanding fintech environment.
Responsibilities
- Develop and implement compliance programs aligned with federal regulations (Dodd-Frank, AML) and state-specific requirements
- Conduct regular internal audits and risk assessments to identify compliance gaps
- Collaborate with legal and operations teams to create policy documentation
- Investigate regulatory violations and recommend corrective actions
- Train staff on compliance protocols and regulatory updates
- Prepare reports for senior management and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, or Law (Master's preferred)
- 5+ years of compliance experience in financial services
- Certified Compliance & Ethics Professional (CCEP) designation required
- Expert knowledge of FINRA, SEC, and California DFI regulations
- Strong analytical skills with proficiency in compliance software
- Exceptional written communication and documentation abilities
- Experience managing audit processes and regulatory inquiries