Job Description
Join our award-winning financial services team as a Compliance Officer in sunny Chula Vista! We're seeking a detail-oriented professional to ensure regulatory adherence and drive ethical business practices. This hybrid role offers competitive compensation, comprehensive benefits, and growth opportunities in a dynamic industry. Perfect for candidates passionate about safeguarding organizational integrity while contributing to strategic initiatives.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (FINRA, SEC, CFPB)
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare regulatory reports and maintain accurate compliance documentation
- Train staff on compliance policies and regulatory updates
- Collaborate with legal and executive teams on compliance strategy
- Investigate and resolve compliance violations promptly
- Stay current on industry regulations and emerging risks
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Relevant certifications (CRCM, CAMS, CCEP) strongly preferred
- Expertise in FINRA/SEC regulations and AML/BSA protocols
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication skills
- Proficiency with compliance software (e.g., OnBase, Diligence)