Job Description
Launch your compliance career with our industry-leading paid training program! Chula Vista Financial Services is seeking motivated individuals to join our team as Compliance Officers. No prior experience required – we provide comprehensive training to transform you into a regulatory expert. You'll work in a dynamic environment where your analytical skills and attention to detail directly impact our clients' financial security. Enjoy competitive compensation, full benefits, and clear advancement opportunities while ensuring adherence to FINRA, SEC, and state regulations.
Our 12-week paid training curriculum covers risk management, regulatory frameworks, and compliance technology. Upon completion, you'll manage audits, develop compliance policies, and guide organizational practices. This is your gateway to a stable, high-demand career in financial services with zero upfront investment in education.
Responsibilities
- Monitor and implement federal/state regulatory compliance (FINRA, SEC, CA DBO)
- Conduct risk assessments and internal audits for financial products
- Develop/update compliance policies and procedures documentation
- Train staff on regulatory requirements and ethical practices
- Investigate compliance violations and recommend corrective actions
- Prepare regulatory filings and management reports
- Coordinate with legal counsel on compliance matters
- Stay current on regulatory changes via continuing education
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- Strong analytical skills and attention to detail
- Excellent written/verbal communication abilities
- Proficiency in Microsoft Office Suite
- Ability to learn complex regulatory frameworks
- No prior compliance experience required (paid training provided)
- Valid driver's license (for occasional client meetings)
- US citizenship or legal work authorization