Job Description
Join GlobalFin Partners' elite compliance team in the heart of San Francisco's financial district! As a Senior Compliance Officer, you'll safeguard our operations against regulatory risks while shaping industry standards. We offer hybrid work, comprehensive benefits, and career growth in a dynamic fintech environment.
Why GlobalFin? Our culture blends innovation with integrity. You'll collaborate with cross-functional teams to implement cutting-edge compliance frameworks while enjoying competitive compensation and professional development opportunities.
Responsibilities
- Develop and implement robust compliance programs aligned with FINRA, SEC, and CA state regulations
- Conduct risk assessments and internal audits to identify regulatory vulnerabilities
- Lead regulatory reporting initiatives and respond to examiner inquiries
- Train staff on compliance policies and emerging regulatory changes
- Partner with legal and business units to ensure transactional compliance
- Monitor industry trends and propose proactive risk mitigation strategies
Qualifications
- Bachelor's degree in Finance, Law, or related field (MBA/JD preferred)
- 5+ years compliance experience in financial services or fintech
- FINRA Series 7, 24, and 63 licenses (or ability to obtain within 90 days)
- Expertise in AML, KYC, and anti-bribery frameworks
- Strong analytical skills with proficiency in compliance software (e.g., ComplyAdvantage)
- Proven track record of developing compliance policies and procedures
- Excellent communication skills for stakeholder management