Compliance Officer

The Senior Compliance Officer will support the Compliance Department needs in all aspects of the firm’s compliance program for both the Broker Dealer and Registered Investment Adviser. This will include, but not be limited to, building out and automating manual compliance processes, analyzing and enhancing the firm’s compliance program, managing and coordinating the firm’s books and records requirements. Assist the CCO and Compliance team with various areas. Support the filing of firm’s regulatory filing. Support and review of existing exception reporting program and expand new tests based on business expansion. Conduct employee communication reviews. Assist regulators, auditors and business management with regulatory exams and inquiries. Be fully integrated into the compliance program. Help support key strategic initiatives. Scope and develop scalable frameworks, roadmaps, and metrics for the team and the broader organization.

According to JobzMall, the average salary range for a Compliance Officer in Building 1, 5300 California Ave, Irvine, CA 92617, USA is $65,000-$85,000. This range may vary depending on the experience and qualifications of the Compliance Officer.

Acorns is an American financial technology and financial services company based in Irvine, California that specializes in micro-investing and robo-investing.