Job Description
Join our dynamic team as a Compliance Officer in Riverside, CA! At Financial Integrity Partners, we're committed to maintaining the highest ethical standards while driving business growth. This pivotal role ensures our organization adheres to federal and state regulations, mitigates risks, and fosters a culture of compliance excellence. You'll work closely with senior leadership to develop robust compliance frameworks, conduct thorough audits, and implement strategic initiatives that protect our clients and stakeholders.
Responsibilities
- Monitor regulatory changes and update compliance policies accordingly
- Conduct internal audits and risk assessments across all departments
- Develop and deliver compliance training programs for employees
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Collaborate with legal and HR teams on compliance-related matters
- Stay current with industry best practices and emerging regulations
Qualifications
- Bachelor's degree in Finance, Business, or related field required
- 3+ years of compliance experience in financial services
- Strong knowledge of federal regulations (e.g., FINRA, SEC, AML)
- Excellent analytical and problem-solving skills
- Certified Regulatory Compliance Manager (CRCM) preferred
- Proficiency in compliance software and data analysis tools
- Exceptional communication and presentation abilities
- Ability to thrive in a fast-paced, regulated environment