Job Description
Join our dynamic team as a Compliance Officer in Riverside, CA and become a guardian of regulatory excellence. This pivotal role ensures our organization operates with unwavering integrity while navigating complex financial landscapes. You'll develop robust compliance frameworks, conduct risk assessments, and drive ethical business practices across all departments. Our commitment to innovation and employee growth offers unparalleled opportunities for career advancement in a supportive, collaborative environment.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with federal/state regulations (e.g., FINRA, SEC, AML)
- Conduct internal audits and risk assessments to identify compliance gaps and mitigation strategies
- Provide expert guidance to stakeholders on regulatory requirements and policy interpretation
- Investigate and resolve compliance violations with thorough documentation and corrective action plans
- Stay current on evolving regulatory changes and update compliance protocols accordingly
- Train employees on compliance policies and procedures through engaging workshops
- Collaborate with legal and executive teams to ensure strategic compliance alignment
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industries
- Strong knowledge of FINRA/SEC regulations, AML protocols, and risk management frameworks
- Certifications (CRCM, CAMS, or CCEP) highly valued
- Exceptional analytical skills with attention to detail and accuracy
- Proven ability to interpret complex regulations and communicate effectively with all levels
- Experience with compliance software (e.g., OnBase, MetricStream) and data analysis tools
- Strong ethical judgment and ability to handle sensitive information discreetly