Job Description
Join our dynamic team at Capital Financial Group as a Compliance Officer in Sacramento, CA! We're seeking a detail-oriented professional to ensure regulatory adherence and drive ethical practices across our financial operations. With a competitive salary plus a sign-on bonus up to $10,000, this role offers exceptional growth opportunities in a thriving market. Help us maintain our industry-leading reputation for integrity while advancing your compliance career in California's capital.
Responsibilities
- Develop and implement compliance programs aligned with federal/state regulations (FINRA, SEC, CFPB)
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive leadership
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Relevant certifications (CRCM, CAMS, or CCEP) required
- Deep knowledge of CA financial regulations and federal compliance frameworks
- Strong analytical skills with attention to detail
- Experience with compliance management software (e.g., MetricStream, RSA Archer)
- Excellent written communication and reporting abilities
- Proven ability to handle confidential information