Job Description
Join our elite team at GlobalTech Solutions Inc., a leading fintech innovator, as a Senior Compliance Officer. Based in Irvine, CA, you'll drive our regulatory excellence in a dynamic, high-impact role. Enjoy competitive compensation, comprehensive benefits, and the opportunity to shape compliance strategies that protect our $2B+ operations. Apply today to elevate your career in one of America's most vibrant tech hubs.
Responsibilities
- Develop and implement robust compliance frameworks adhering to FINRA, SEC, and California state regulations
- Conduct high-stakes risk assessments and internal audits across 15+ business units
- Lead cross-functional initiatives to ensure AML/KYC/OFAC compliance protocols
- Partner with executive leadership to design regulatory response strategies
- Mentor junior compliance professionals and drive departmental training programs
- Represent the company in regulatory examinations and industry forums
Qualifications
- Bachelor's degree in Finance, Law, or related field (MBA/JD preferred)
- 8+ years of compliance experience in financial services or fintech
- FINRA Series 7, 24, and 63 certifications mandatory
- Expertise in CA-specific regulatory landscape (e.g., DBO, DFPI)
- Proven track record of managing complex compliance investigations
- Advanced proficiency in compliance software (e.g., RSA Archer, MetricStream)
- Exceptional analytical skills and regulatory writing abilities