Job Description
Join our dynamic team at Bakersfield Financial Solutions as an urgent Compliance Officer role becomes available! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. This is your chance to make an immediate impact while advancing your career in compliance.
Responsibilities
- Monitor and implement federal/state compliance regulations (e.g., FINRA, SEC, CFPB)
- Conduct internal audits and risk assessments across financial products
- Develop/update compliance policies and procedures documentation
- Train staff on regulatory changes and compliance protocols
- Investigate and resolve compliance violations with corrective actions
- Prepare regulatory reports for management and external agencies
- Collaborate with legal and operations teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and BSA/AML requirements
- Proficient in compliance software (e.g., ComplySci, AdvisorEngine)
- Excellent written/verbal communication and analytical skills
- Certified Regulatory Compliance Manager (CRCM) preferred
- Ability to thrive in deadline-driven environments