Job Description
We're seeking a detail-oriented Compliance Officer to join our dynamic team in Riverside, CA. This immediate-hire role is perfect for a proactive professional with a passion for regulatory excellence. You'll ensure our organization adheres to federal, state, and industry regulations while fostering a culture of compliance. Enjoy competitive compensation, comprehensive benefits, and the opportunity to make an immediate impact in a growing financial services firm.
Responsibilities
- Monitor regulatory changes and implement compliance policies across all departments
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and maintain compliance documentation including training materials
- Collaborate with legal and leadership teams to address compliance issues
- Manage regulatory reporting requirements for state and federal agencies
- Lead employee training programs on compliance procedures
- Investigate and resolve compliance violations
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and California DFI regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving skills
- Experience with compliance software and reporting tools
- Ability to work independently and manage competing priorities
- Excellent written and verbal communication skills