Job Description
Join our award-winning financial services firm as a Senior Compliance Officer in Irvine, CA. We're seeking a meticulous professional to safeguard regulatory integrity while driving strategic compliance initiatives. Enjoy competitive compensation, comprehensive benefits, and a collaborative culture that values innovation. This high-impact role offers career advancement opportunities within a Fortune 500 environment.
Responsibilities
- Develop and implement robust compliance frameworks adhering to FINRA, SEC, and CA DFI regulations
- Conduct risk assessments and internal audits for 15+ financial products
- Lead cross-departmental compliance training programs with 95% employee participation
- Manage regulatory reporting requirements with zero tolerance for violations
- Collaborate with legal team on policy updates and enforcement actions
- Monitor emerging regulations and advise executive team on strategic implications
Qualifications
- Bachelor's degree in Finance, Law, or related field; MBA/JD preferred
- 8+ years compliance experience in financial services with 3+ years in leadership
- FINRA Series 7, 24, and 63 licenses required
- Advanced proficiency in compliance software (e.g., ComplianceEase, Adenza)
- Proven track record of reducing compliance incidents by 30%+
- Expert knowledge of CA financial regulations and federal banking laws
- Strong analytical skills with experience in forensic investigation