Job Description
Join Riverside Financial Group as an immediate-hire Compliance Officer and become a guardian of regulatory excellence in California's thriving Inland Empire. We're seeking a detail-driven professional to ensure adherence to federal, state, and industry regulations while fostering a culture of integrity. Enjoy competitive compensation, comprehensive benefits, and the opportunity to make an immediate impact in a dynamic financial services environment.
Responsibilities
- Develop and implement compliance policies aligned with FINRA, SEC, and California DFPI regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Monitor regulatory changes and update procedures accordingly
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain documentation trails
- Collaborate with legal and senior leadership on compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- 3+ years of compliance experience in financial services
- Strong knowledge of California financial regulations (DFPI, B&P Code)
- Certification (CRCM, CAMS, or CCEP) preferred
- Exceptional attention to detail and analytical skills
- Proficiency with compliance software (e.g., OnBase, Wolters Kluwer)
- Ability to communicate complex regulations clearly to diverse audiences
- Proven track record of regulatory reporting accuracy