Job Description
Join our award-winning financial institution as a Senior Compliance Officer in the heart of San Francisco's financial district. You'll be instrumental in ensuring regulatory adherence across our dynamic portfolio of services, working with cross-functional teams to embed compliance excellence into every business decision. This role offers unparalleled growth opportunities in one of the world's most vibrant tech and finance hubs.
Why Join Us?
- Industry-leading compensation and benefits package
- Hybrid work model (3 days in-office, 2 remote)
- Professional development stipend for certifications
- Collaborative culture with 25% women in leadership
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with FINRA, SEC, and CA state regulations
- Conduct risk assessments and internal audits for wealth management and fintech products
- Advise senior leadership on regulatory changes and their strategic implications
- Lead investigations into compliance breaches and remediation efforts
- Train staff on AML, KYC, and anti-fraud protocols
- Collaborate with legal, operations, and product teams to ensure compliance by design
- Represent the company in regulatory examinations and industry forums
Qualifications
- Bachelor's degree in Finance, Law, or related field; advanced degree preferred
- 5+ years in compliance with 3+ years in financial services or fintech
- FINRA Series 7, 63, and 24 certifications (or equivalent regulatory knowledge)
- Expertise in CA-specific regulations (e.g., DBO, DFPI)
- Proven experience with Reg BI, CCPA, and emerging crypto regulations
- Strong analytical skills with proficiency in compliance monitoring tools (e.g., NASD, Smarsh)
- Exceptional communication skills for stakeholder management