Job Description
Join our dynamic team at Stockton Financial Services as a Compliance Officer! We're seeking a detail-oriented professional to ensure regulatory adherence and foster a culture of compliance excellence. In this pivotal role, you'll safeguard our operations while driving ethical business practices across all departments. Enjoy competitive benefits, professional development opportunities, and a collaborative work environment in the heart of Stockton, CA.
Why Work With Us? At Stockton Financial Services, we prioritize integrity, innovation, and employee growth. We offer comprehensive health benefits, retirement plans, and a commitment to work-life balance. Our modern downtown office provides easy access to public transportation and local amenities.
Responsibilities
- Monitor regulatory changes (e.g., FINRA, SEC, CFPB) and implement updated compliance protocols
- Conduct internal audits and risk assessments across financial operations
- Develop and deliver compliance training programs to staff at all levels
- Investigate and resolve compliance violations with corrective action plans
- Prepare detailed regulatory reports and maintain accurate documentation
- Collaborate with legal and executive teams on compliance strategy
- Ensure adherence to AML/KYC procedures and anti-fraud policies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Strong knowledge of federal/state regulations and industry standards
- Certified Compliance & Ethics Professional (CCEP) designation required
- Exceptional analytical and problem-solving skills
- Advanced proficiency in compliance software (e.g., ComplianceEase, OnBase)
- Excellent written/verbal communication abilities
- Ability to manage competing priorities and meet deadlines