Job Description
Join our award-winning fintech leader as a Senior Compliance Officer and shape regulatory excellence in the heart of Silicon Valley. We offer a dynamic environment where your expertise directly impacts our global operations while enjoying competitive compensation and comprehensive benefits.
Our San Jose headquarters features state-of-the-art facilities, flexible work arrangements, and a culture that values innovation and integrity. As a key member of our Risk Management division, you'll collaborate with cross-functional teams to ensure adherence to federal and state regulations while driving proactive compliance strategies.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with FINRA, SEC, and CA DFI regulations
- Conduct risk assessments and internal audits for financial products and services
- Lead regulatory reporting and maintain meticulous documentation trails
- Train staff on compliance protocols and emerging regulatory requirements
- Collaborate with legal and business teams on policy development
- Monitor regulatory changes and advise on strategic implications
- Manage vendor compliance relationships and due diligence processes
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in fintech or financial services
- FINRA Series 7, 24, or 63 certifications required
- Expertise in AML, BSA, and consumer protection regulations
- Proven track record of developing compliance frameworks
- Advanced proficiency in compliance management software (e.g., MetricStream)
- Strong analytical skills with attention to detail
- Excellent written and verbal communication abilities