Job Description
Join our dynamic team at Riverside Financial Services as an immediate-hire Compliance Officer! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial environment. This pivotal role offers competitive compensation, comprehensive benefits, and the opportunity to make a tangible impact on our compliance framework.
As a key member of our risk management division, you'll collaborate with cross-functional teams to implement robust compliance protocols while fostering a culture of ethical conduct. Our commitment to professional development ensures you'll stay ahead of evolving regulations through continuous training and mentorship.
Responsibilities
- Develop, implement, and monitor compliance policies aligned with federal/state regulations (e.g., FINRA, SEC, CFPB)
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory requirements and ethical standards
- Manage compliance documentation and ensure audit readiness
- Investigate and resolve compliance breaches with corrective action plans
- Stay current on regulatory changes and advise on implementation strategies
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 FINRA/SEC regulations and California financial laws
- Proficient in compliance software (e.g., Certent, NASD Compliance Suite)
- Excellent analytical skills with attention to detail
- Strong written/verbal communication and presentation abilities
- Relevant certifications (e.g., CRCM, CAMS, CCEP) highly desirable
- Ability to prioritize tasks in a fast-paced environment