Job Description
Join GlobalTech Financial Services, a leading fintech innovator, as our next Senior Compliance Officer in Irvine, CA. This high-impact role offers a competitive compensation package and the opportunity to shape compliance strategies for a rapidly growing company. You'll work in a collaborative environment where your expertise directly impacts regulatory excellence and operational integrity.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with FINRA, SEC, and CA state regulations
- Conduct risk assessments and internal audits to ensure adherence to financial services laws
- Advise senior leadership on regulatory changes and their business implications
- Manage compliance investigations and remediation efforts
- Oversee AML/BSA and OFAC compliance protocols
- Lead cross-functional compliance training initiatives
- Prepare regulatory reports and disclosures for state and federal authorities
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or fintech
- FINRA Series 7, 24, or 63 certifications required
- Deep knowledge of CA financial regulations and federal banking laws
- Strong analytical and problem-solving abilities
- Experience with compliance software (e.g., ComplySci, MetricStream)
- Exceptional communication and stakeholder management skills
- Certified Regulatory Compliance Manager (CRCM) designation a plus