Job Description
Join our dynamic team as an immediate-hire Compliance Officer in sunny Chula Vista, CA! We're seeking a detail-oriented professional to ensure regulatory adherence across financial operations. This pivotal role offers competitive compensation, comprehensive benefits, and the opportunity to shape our compliance framework in a growing industry leader.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, CFTC)
- Develop internal compliance policies and procedures
- Conduct risk assessments and internal audits
- Train staff on compliance requirements
- Investigate and resolve compliance violations
- Prepare regulatory reports and disclosures
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in finance/regulation
- FINRA Series 63/65/66 licenses required
- Strong knowledge of AML/KYC procedures
- Excellent analytical and documentation skills
- Certified Regulatory Compliance Manager (CRCM) preferred