Compliance Officer

3 weeks ago


Los Angeles, United States Stealth Fintech Startup Alpha Full time

WE ARE HIRING ✨


We are seeking a diligent and knowledgeable Compliance Officer to join our team. The Compliance Officer will be responsible for developing, implementing, and overseeing the company's compliance program to ensure adherence to relevant laws, regulations, and internal policies. The ideal candidate will have a strong understanding of regulatory requirements and industry standards, as well as experience designing and maintaining effective compliance programs.


Responsibilities:

  • Develop, implement, and maintain the company's compliance program to ensure adherence to applicable laws, regulations, and internal policies.
  • Monitor regulatory developments and industry trends to identify emerging compliance risks and recommend appropriate actions to mitigate those risks.
  • Conduct regular compliance reviews and assessments to evaluate the effectiveness of the compliance program and identify areas for improvement.
  • Provide guidance and support to employees on compliance-related matters, including regulatory requirements, company policies, and best practices.
  • Collaborate with internal stakeholders, including legal, risk management, and business units, to ensure alignment of compliance efforts with business objectives.
  • Serve as the primary point of contact for regulatory agencies and external auditors during compliance examinations and audits.
  • Investigate compliance issues, complaints, and breaches, and recommend corrective actions and preventive measures as necessary.
  • Prepare and submit required reports to regulatory agencies and senior management, documenting compliance activities and outcomes.



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