Job Description
Join our dynamic team as a Compliance Officer at Delta Financial Services, where you'll safeguard our operations while shaping industry standards. Based in Stockton, CA, you'll be pivotal in ensuring regulatory adherence across all business units. We offer competitive benefits, professional development, and a collaborative work environment. If you're passionate about compliance excellence and want to make a tangible impact, apply today!
Responsibilities
- Develop and implement robust compliance programs aligned with federal/state regulations (FFIEC, BSA, AML)
- Conduct risk assessments and internal audits to identify compliance gaps
- Train staff on regulatory requirements and ethical standards
- Investigate and resolve compliance violations with corrective action plans
- Prepare regulatory reports for FINRA, SEC, and other governing bodies
- Collaborate with legal team on policy updates and regulatory changes
- Maintain meticulous documentation of compliance activities
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Active CCEP or CRCM certification required
- Deep knowledge of CA financial regulations and federal banking laws
- Proficiency in compliance software (e.g., RSA Archer, ComplianceEase)
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication skills for stakeholder reporting