Job Description
Join our dynamic compliance team in Chula Vista and make an immediate impact! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence across financial operations. This urgent opening offers competitive compensation, comprehensive benefits, and the chance to work with industry-leading professionals in a fast-paced environment.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, CA DBO) to update compliance policies
- Conduct internal audits and risk assessments for financial service products
- Develop training programs for staff on compliance protocols and ethics
- Investigate and resolve compliance violations with corrective action plans
- Prepare regulatory reports and maintain documentation for audits
- Collaborate with legal and risk management teams on compliance frameworks
- Lead AML/KYC program implementation and monitoring
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services or fintech
- Certified Regulatory Compliance Manager (CRCM) designation required
- Expertise in CA and federal financial regulations
- Strong analytical skills with attention to detail
- Experience with compliance software (e.g., MetricStream, Adenza)
- Exceptional communication and presentation skills
- Ability to thrive in deadline-driven environments