Job Description
Join our dynamic team as a Compliance Officer at Pacific Coast Financial Group, where integrity drives innovation. Based in sunny Chula Vista, you'll safeguard our operations while shaping a culture of regulatory excellence. This hybrid role offers competitive compensation, comprehensive benefits, and opportunities for career growth in one of California's most vibrant coastal communities.
Responsibilities
- Monitor and interpret federal/state regulations (FINRA, SEC, CFPB) to ensure organizational compliance
- Develop, implement, and audit internal policies/procedures across all business units
- Conduct risk assessments and mitigate compliance gaps through actionable reporting
- Train staff on regulatory requirements and ethical standards
- Collaborate with legal counsel during investigations and regulatory examinations
- Lead compliance initiatives for new product launches and service expansions
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services or regulated industry
- FINRA Series 65/66 or equivalent compliance certification
- Expert knowledge of CA financial regulations and AML protocols
- Advanced analytical skills with proficiency in compliance software (e.g., ComplySci)
- Strong written/verbal communication abilities for complex documentation
- Proven track record in regulatory reporting and audit management