Job Description
Join our award-winning compliance team as a Senior Compliance Officer at GlobalTech Financial Services in Irvine, CA. We're seeking a detail-oriented professional to drive regulatory excellence in our dynamic fintech environment. Enjoy competitive compensation, comprehensive benefits, and opportunities for career advancement in one of America's fastest-growing tech hubs.
Responsibilities
- Develop and implement comprehensive compliance programs adhering to federal regulations (SEC, FINRA, CFPB)
- Conduct risk assessments and internal audits for financial products and services
- Collaborate with legal and business teams to ensure regulatory alignment
- Manage regulatory reporting and maintain compliance documentation
- Lead training initiatives for staff on compliance protocols
- Stay updated on regulatory changes and advise on impact to business operations
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or fintech
- Strong knowledge of SEC regulations and FINRA rules
- Experience with compliance automation tools (e.g., LogicGate, Compliance.ai)
- Certified Compliance & Ethics Professional (CCEP) designation required
- Exceptional analytical skills and attention to detail
- Proven ability to manage complex regulatory projects