Job Description
We are seeking a Senior Compliance Officer to join our elite team in Irvine, CA. In this pivotal role, you will safeguard our organization against regulatory risks while driving a culture of integrity and transparency. We offer a competitive compensation package, comprehensive benefits, and the opportunity to work with cutting-edge compliance technologies.
Why Join Us?
- Competitive base salary with performance bonuses.
- Comprehensive health, dental, and vision insurance.
- 401(k) matching with immediate vesting.
- Flexible work arrangements and professional development stipends.
If you are a strategic thinker with a passion for regulatory excellence, we want to hear from you.
Responsibilities
- Develop, implement, and maintain a comprehensive compliance program aligned with federal and state regulations (e.g., FINRA, SEC, state banking laws).
- Conduct regular internal audits and risk assessments to identify vulnerabilities in operational processes.
- Oversee the Anti-Money Laundering (AML) and Bank Secrecy Act (BSA) programs to detect and prevent financial crimes.
- Provide expert guidance to senior management on complex regulatory issues and emerging compliance trends.
- Prepare and submit required regulatory reports to internal stakeholders and external governing bodies.
- Manage training programs to ensure all employees understand compliance policies and ethical standards.
- Lead investigations into potential violations and recommend corrective actions.
Qualifications
- Minimum of 5 years of experience in compliance, risk management, or legal compliance within the financial services or technology sector.
- Bachelor’s degree in Law, Business Administration, Finance, or a related field; Master’s degree (MBA, JD) preferred.
- Strong knowledge of SOX 404, GDPR, and CCPA regulations.
- Excellent analytical skills with the ability to interpret complex regulatory frameworks.
- Certified Regulatory Compliance Manager (CRCM) or similar certification is highly desirable.
- Proven track record of managing cross-functional teams and leading high-stakes audits.
- Strong written and verbal communication skills.