Job Description
Join our dynamic compliance team as an entry-level Compliance Officer! No prior experience required – we provide comprehensive training to launch your career in finance. As a key member of our Santa Ana-based team, you'll ensure regulatory adherence while developing specialized skills in risk management and policy enforcement. Enjoy competitive benefits, mentorship opportunities, and a clear path to advancement in the growing fintech sector.
Responsibilities
- Monitor and document compliance with federal/state regulations (e.g., FINRA, SEC)
- Assist in developing internal compliance policies and procedures
- Conduct routine audits of financial transactions and documentation
- Collaborate with departments to resolve compliance gaps
- Prepare reports for senior management and regulatory bodies
- Stay updated on evolving compliance legislation
- Support investigations of potential violations
Qualifications
- High school diploma or equivalent (degree preferred)
- Strong attention to detail and analytical thinking
- Excellent written and verbal communication skills
- Basic proficiency in MS Office Suite
- Ability to learn complex regulations quickly
- Integrity and commitment to ethical standards
- Team player with collaborative mindset