Job Description
Join our dynamic compliance team in Riverside, CA as an immediate hire Compliance Officer! We're seeking a detail-oriented professional to ensure regulatory adherence and drive ethical practices across our operations. Enjoy competitive compensation, comprehensive benefits, and the opportunity to make an immediate impact in a growing industry.
Responsibilities
- Monitor and interpret federal/state regulatory changes affecting financial operations
- Conduct internal audits to identify compliance gaps and implement corrective actions
- Develop and maintain compliance documentation including policies and training materials
- Collaborate with legal, finance, and operations teams to ensure regulatory alignment
- Investigate potential compliance violations and recommend disciplinary actions
- Prepare detailed reports for senior management and regulatory bodies
- Stay updated on industry trends and emerging compliance technologies
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance/regulatory experience in financial services
- Strong knowledge of FINRA, SEC, and California state regulations
- Excellent analytical skills with attention to detail
- Experience with compliance management software (e.g., Certegy, Adenza)
- Strong written/verbal communication and presentation skills
- Ability to manage multiple priorities in a fast-paced environment
- Professional certification (CRCM, CAMS) preferred