Job Description
Join our elite compliance team at Global Financial Solutions Inc. in Irvine, CA, where you'll safeguard our operations against regulatory risks while driving strategic initiatives. We're seeking a seasoned Senior Compliance Officer to lead our regulatory framework in the rapidly evolving financial services sector. Enjoy a competitive compensation package, comprehensive benefits, and opportunities for professional growth in one of America's most dynamic business hubs.
Responsibilities
- Develop, implement, and maintain robust compliance programs aligned with federal/state regulations (Dodd-Frank, SOX, AML)
- Conduct risk assessments and internal audits across all business units
- Lead regulatory reporting to FINRA, SEC, and other governing bodies
- Collaborate with legal and executive teams on compliance strategy
- Train staff on regulatory requirements and ethical standards
- Monitor industry trends and update policies proactively
- Manage compliance investigations and enforcement actions
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's/JD preferred)
- 7+ years compliance experience in financial services
- FINRA Series 7, 24, or 27 certifications required
- Expert knowledge of CA and federal regulatory frameworks
- Strong analytical skills with risk assessment experience
- Proven track record of developing compliance programs
- Exceptional communication and presentation abilities
- Experience with regulatory reporting tools (e.g., NASD, SEC filings)