Job Description
Join FinGuard Compliance Solutions as a Compliance Officer in Riverside, CA! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks. Enjoy competitive compensation, comprehensive benefits, and a collaborative work environment. Be part of a team shaping ethical financial practices in Southern California.
Responsibilities
- Monitor regulatory changes and implement compliance policies
- Conduct internal audits and risk assessments
- Prepare compliance reports for executive leadership
- Train staff on regulatory requirements
- Investigate potential compliance violations
- Collaborate with legal and finance departments
- Ensure adherence to FINRA, SEC, and state regulations
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- Knowledge of FINRA/SEC regulations
- Strong analytical and problem-solving skills
- Relevant certifications (CRCM, CAMS) preferred
- Proficiency in compliance management software
- Excellent written and verbal communication