Job Description
Launch your career in compliance with Santa Ana Financial Services! We're seeking a motivated Compliance Officer to join our dynamic team—no experience required. As a vital member of our regulatory affairs department, you'll ensure adherence to federal, state, and local regulations while supporting our commitment to ethical business practices. We provide comprehensive training and mentorship to help you thrive in this rewarding role.
Our ideal candidate is detail-oriented, eager to learn, and passionate about maintaining industry standards. You'll work closely with senior compliance officers to develop policies, conduct audits, and implement best practices that protect our clients and stakeholders. Join us in building a culture of integrity and compliance excellence.
Responsibilities
- Monitor regulatory updates and ensure organizational compliance with FINRA, SEC, and California state regulations
- Assist in developing and implementing internal compliance policies and procedures
- Conduct routine compliance audits and prepare detailed reports for senior management
- Train employees on compliance requirements through workshops and documentation
- Investigate potential compliance breaches and recommend corrective actions
- Maintain accurate records of compliance activities and regulatory filings
- Collaborate with legal and audit teams to address compliance gaps
Qualifications
- High school diploma or equivalent; college degree preferred but not required
- Strong attention to detail and organizational skills
- Basic knowledge of Microsoft Office Suite (Word, Excel, Outlook)
- Ability to learn complex regulations quickly and apply them accurately
- Excellent written and verbal communication skills
- Proficiency in maintaining confidential information
- Willingness to obtain relevant compliance certifications within first year
- Valid California driver's license and reliable transportation