Job Description
Join our dynamic compliance team as a Compliance Officer in Stockton, CA. You will ensure adherence to federal and state regulations, mitigate risks, and foster a culture of compliance excellence. This role offers competitive compensation, career growth opportunities, and the chance to make a tangible impact in the financial services industry.
Responsibilities
- Monitor regulatory changes and update compliance policies/procedures
- Conduct internal audits and compliance assessments
- Investigate potential violations and recommend corrective actions
- Train staff on compliance protocols and regulatory requirements
- Prepare detailed compliance reports for senior management
- Collaborate with legal and audit teams on compliance initiatives
- 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 CA state regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Proficient in compliance software (e.g., OnBase, Compliance.ai)
- Exceptional analytical and problem-solving skills
- Ability to manage multiple priorities in a fast-paced environment