Job Description
Join our dynamic compliance team at Pacific Financial Group, a leading financial services firm headquartered in Santa Ana, CA. We're seeking a detail-oriented Senior Compliance Officer to ensure adherence to federal and state regulations while driving ethical business practices. This hybrid role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Responsibilities
- Develop and implement compliance policies aligned with FINRA, SEC, and California DFI regulations
- Conduct regular internal audits and risk assessments across all business units
- Investigate compliance violations and recommend corrective actions
- Train staff on regulatory updates and best practices
- Monitor industry trends to anticipate regulatory changes
- Prepare detailed reports for executive leadership and regulatory bodies
- Collaborate with legal and operations teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 63, 65, or 24 certifications required
- Deep knowledge of California financial regulations
- Advanced proficiency in compliance management software
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills