Job Description
Join our dynamic compliance team as a Compliance Officer in sunny Chula Vista, CA! We're seeking a detail-oriented professional to ensure regulatory adherence across financial operations. This hybrid role offers competitive compensation, comprehensive benefits, and opportunities for career growth in a supportive environment.
Responsibilities
- Develop and implement compliance programs aligned with federal regulations (e.g., FINRA, SEC)
- Conduct internal audits and risk assessments for financial operations
- Investigate and resolve compliance violations with documented remediation plans
- Train staff on regulatory updates and best practices
- Prepare detailed compliance reports for executive leadership
- Collaborate with legal and finance teams on policy updates
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations
- Advanced proficiency in MS Office Suite (Excel, Word)
- Excellent analytical and problem-solving abilities
- Certifications (e.g., CAMS, CRCM) preferred
- Valid California driver's license