Job Description
Join GlobalTech Financial Services as a Senior Compliance Officer and lead our regulatory compliance initiatives in the heart of Silicon Valley. We're seeking a detail-oriented professional to safeguard our operations while driving innovation in a dynamic fintech environment. Enjoy competitive compensation, comprehensive benefits, and the opportunity to shape compliance strategy for a rapidly growing enterprise.
Why GlobalTech?
• Industry-leading compensation package with performance bonuses
• Cutting-edge compliance technology and resources
• Collaborative culture focused on professional growth
• Hybrid work model with flexible scheduling
Responsibilities
- Develop and implement compliance programs aligned with federal/state regulations (FINRA, SEC, CFPB)
- Conduct risk assessments and internal audits across financial products
- Lead AML/KYC investigations and reporting procedures
- Train stakeholders on regulatory changes and compliance policies
- Collaborate with legal and audit teams on regulatory submissions
- Manage compliance documentation and audit trail maintenance
- Stay current on evolving fintech regulations through industry engagement
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services or fintech
- FINRA Series 63/65/66 licenses or equivalent regulatory certifications
- Expert knowledge of California financial regulations
- Advanced proficiency in compliance management software (e.g., NICE Actimize, RSA Archer)
- Experience managing cross-functional compliance projects
- Strong analytical skills with attention to detail
- Exceptional written and verbal communication abilities