Job Description
Join Pacific Regulatory Partners as a Senior Compliance Officer and become a guardian of ethical business practices in the heart of Orange County. We're seeking a meticulous professional to navigate complex regulatory landscapes while driving our compliance framework forward. Enjoy competitive compensation, comprehensive benefits, and the opportunity to shape compliance strategy for a dynamic financial services firm.
Our Santa Ana headquarters offers a collaborative environment where your expertise directly impacts organizational integrity. You'll work alongside industry leaders while maintaining work-life balance in Southern California's vibrant business hub.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (FINRA, SEC, CFPB) and state requirements
- Conduct regular risk assessments and internal audits to identify compliance vulnerabilities
- Prepare comprehensive compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory changes and best compliance practices
- Investigate potential compliance breaches and recommend corrective actions
- Stay current with evolving financial regulations through continuous professional development
- Collaborate with legal and audit teams to ensure cohesive risk management
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services or regulated industry
- FINRA Series 26/27 or Series 7/24 certification required
- Deep knowledge of California-specific financial regulations
- Strong analytical skills with attention to detail
- Excellent written and verbal communication abilities
- Experience with compliance management software (e.g., Diligent, OneTrust)
- Ability to thrive in fast-paced, regulated environments