Job Description
Join our dynamic team at Pacific Coast Financial Group as a Compliance Officer and play a critical role in ensuring regulatory adherence and ethical practices across our operations. We're seeking a proactive professional to safeguard our organization's integrity while supporting our mission to deliver exceptional financial services to the San Diego community. This immediate hire opportunity offers competitive compensation, comprehensive benefits, and a collaborative work environment.
Responsibilities
- Monitor and interpret federal, state, and local regulations (including FINRA, SEC, and CA DBO) to ensure full compliance
- Develop, implement, and update compliance policies, procedures, and internal controls
- Conduct regular internal audits and risk assessments to identify compliance gaps
- Investigate and resolve regulatory inquiries, complaints, and potential violations
- Provide comprehensive compliance training to staff at all levels
- Prepare and submit regulatory reports to governing bodies
- Collaborate with legal, risk, and audit teams to maintain compliance framework
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services or regulated industry
- Strong knowledge of regulatory requirements (FINRA, SEC, AML, etc.)
- Excellent analytical and problem-solving abilities
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification preferred
- Exceptional communication skills with ability to train non-compliance staff
- Proficiency in compliance management software and MS Office Suite
- Ability to thrive in fast-paced, deadline-driven environment