Job Description
Join our dynamic team as a Compliance Officer and start your career tomorrow! We're seeking a detail-oriented professional to ensure regulatory adherence in the financial services sector. This role offers competitive compensation, comprehensive benefits, and immediate start date for qualified candidates. Help us maintain industry standards while advancing your career in one of California's fastest-growing cities.
Responsibilities
- Monitor regulatory changes and update compliance policies accordingly
- Conduct internal audits and risk assessments across departments
- Prepare detailed compliance reports for senior management
- Train staff on regulatory requirements and best practices
- Investigate potential compliance violations and recommend corrective actions
- Collaborate with legal counsel on regulatory matters
- Maintain accurate compliance documentation and records
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and California DFI regulations
- Excellent analytical and problem-solving skills
- Proficient in compliance software and Microsoft Office Suite
- Certified Regulatory Compliance Manager (CRCM) preferred
- Ability to work independently with minimal supervision