Job Description
Join our dynamic team as an Immediate Hire Compliance Officer in Riverside, CA. We're seeking a meticulous professional to ensure regulatory adherence and mitigate financial risks. This is a high-impact role offering competitive compensation and rapid onboarding. Apply today to become part of our industry-leading compliance framework.
Responsibilities
- Monitor and implement federal/state/regulatory compliance requirements
- Conduct internal audits and risk assessments
- Develop/update compliance policies and procedures
- Train staff on regulatory changes and best practices
- Investigate potential violations and recommend corrective actions
- Prepare compliance reports for executive leadership
- Collaborate with legal and finance departments
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/regulatory experience
- Strong knowledge of FINRA, SEC, and CA regulations
- Certified Compliance & Ethics Professional (CCEP) preferred
- Advanced analytical and problem-solving skills
- Exceptional attention to detail
- Proficient in compliance software and MS Office