Job Description
Join our dynamic compliance team at Global Financial Solutions Inc. as a Compliance Officer in Stockton, CA. You'll be instrumental in ensuring regulatory adherence, mitigating risks, and fostering a culture of compliance excellence. This role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Responsibilities
- Monitor regulatory changes and implement updated compliance protocols
- Conduct internal audits and risk assessments across financial operations
- Develop and maintain compliance documentation and training programs
- Collaborate with legal and senior leadership on compliance strategy
- Investigate and resolve compliance violations through root cause analysis
- Prepare detailed compliance reports for regulatory agencies and stakeholders
Qualifications
- Bachelor's degree in Finance, Business, or related field required
- 3+ years of compliance or regulatory experience in financial services
- Strong knowledge of FINRA, SEC, and state regulations
- Advanced proficiency in compliance management software (e.g., RSA Archer)
- Certifications such as CRCM or CCEP preferred
- Exceptional analytical and problem-solving abilities
- Excellent written and verbal communication skills