Job Description
Join our dynamic team as a Compliance Officer in Riverside, CA! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks across financial operations. Enjoy competitive compensation, comprehensive benefits, and a collaborative environment where your expertise drives organizational integrity.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, CFPB)
- Develop and implement compliance policies/procedures
- Conduct internal audits and risk assessments
- Investigate and resolve compliance violations
- Train staff on regulatory requirements
- Maintain accurate compliance documentation
- Collaborate with legal and executive teams
Qualifications
- Bachelor's degree in Finance, Law, or related field
- 3+ years compliance/regulatory experience
- FINRA Series 24/26/27 certifications preferred
- Strong knowledge of financial regulations
- Exceptional analytical and communication skills
- Experience with compliance management software
- Ability to thrive in fast-paced environments