Job Description
Join our dynamic compliance team as an immediate hire Compliance Officer in sunny Chula Vista! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. This role offers competitive compensation, comprehensive benefits, and the opportunity to make an immediate impact. If you're ready to launch your compliance career with a forward-thinking company, apply today!
Responsibilities
- Monitor regulatory changes and update compliance policies/procedures
- Conduct internal audits and risk assessments across all departments
- Prepare and submit regulatory reports to federal/state agencies
- Train staff on compliance protocols and regulatory requirements
- Investigate potential violations and recommend corrective actions
- Maintain accurate documentation of compliance activities
- Collaborate with legal and senior leadership on compliance strategies
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 2+ years of compliance/regulatory experience
- Strong knowledge of FINRA/Federal/State regulations
- Excellent analytical and problem-solving skills
- Ability to interpret complex legal documents
- Proficiency in MS Office and compliance software
- Strong written and verbal communication skills
- Professional certifications (CRCM, CCEP) preferred