Job Description
Join our dynamic team as a Compliance Officer in sunny Chula Vista! We're seeking a detail-oriented professional to ensure regulatory adherence and ethical standards across all operations. This role offers competitive compensation, comprehensive benefits, and growth opportunities within a forward-thinking financial services firm. If you're passionate about compliance excellence and want to make an impact, apply today!
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal/state regulations
- Conduct internal audits and risk assessments across business units
- Investigate regulatory violations and recommend corrective actions
- Prepare and submit compliance reports to regulatory bodies
- Train staff on compliance policies and regulatory changes
- Monitor industry trends and update compliance frameworks accordingly
- Collaborate with legal and executive teams on compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and CA state regulations
- Certified Compliance & Ethics Professional (CCEP) preferred
- Exceptional analytical and problem-solving skills
- Proficiency with compliance management software
- Excellent written and verbal communication abilities