Job Description
Join Capital Financial Group's dynamic compliance team as a Compliance Officer in Sacramento, CA! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. Enjoy a competitive salary, comprehensive benefits, and a generous sign-on bonus for qualified candidates. Help us maintain the highest standards of integrity while growing your career in one of California's most vibrant cities.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (FINRA, SEC, etc.)
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory updates and compliance protocols
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and audit teams on regulatory changes
- Maintain accurate compliance documentation and audit trails
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and CA state regulations
- Excellent analytical and problem-solving skills
- Advanced proficiency in compliance software (e.g., ComplianceEase, Wolters Kluwer)
- Certifications (CRCM, CAMS, or CCEP) strongly preferred
- Exceptional attention to detail and documentation abilities
- Ability to thrive in a fast-paced, deadline-driven environment