Job Description
Join our dynamic compliance team in Sacramento and enjoy the freedom of flexible hours while making a significant impact! We're seeking a dedicated Compliance Officer to ensure regulatory adherence across our financial operations. This role offers hybrid work options (3 days in office, 2 remote) with adaptable scheduling to support your work-life balance. You'll collaborate with cross-functional teams to develop robust compliance frameworks, conduct risk assessments, and maintain regulatory filings – all within a supportive, growth-oriented environment.
Responsibilities
- Monitor federal/state regulations (FINRA, SEC, CA B&P Code) and update internal policies
- Conduct risk assessments and internal audits for operational compliance
- Develop training programs for staff on regulatory requirements
- Investigate and resolve compliance incidents with detailed documentation
- Prepare regulatory reports for FINRA, SEC, and state authorities
- Collaborate with Legal and Audit teams on compliance initiatives
- Stay current on regulatory changes through industry publications and seminars
Qualifications
- Bachelor's degree in Finance, Business, or Law (MBA/JD preferred)
- 3+ years compliance experience in financial services or regulated industry
- Certification (CCEP, CRCM, or CAMS) strongly preferred
- Proficient with compliance software (e.g., MetricStream, Diligent)
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication skills
- Ability to manage competing priorities in fast-paced environment