Job Description
Join our award-winning compliance team as a Compliance Officer with a comprehensive paid training program! We're seeking motivated professionals to ensure regulatory adherence across financial operations. This role offers structured mentorship, industry certifications, and career advancement opportunities in Santa Ana's thriving financial district. Our 12-week training program covers FINRA regulations, AML protocols, and risk management frameworks. Enjoy competitive benefits including health insurance, retirement plans, and professional development stipends.
Responsibilities
- Monitor regulatory changes (SEC, FINRA, CFTC) and implement compliance policies
- Conduct internal audits and risk assessments for financial products
- Investigate compliance violations and prepare regulatory reports
- Develop training materials for staff on regulatory updates
- Collaborate with legal and audit teams on compliance initiatives
- Maintain electronic record-keeping systems for audit trails
- Lead remediation projects for compliance gaps
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 0-2 years compliance/regulatory experience (training provided)
- Strong knowledge of financial regulations (SEC, FINRA, AML)
- Excellent written communication and documentation skills
- Proficiency in compliance software (e.g., NASD, Bloomberg)
- Ability to interpret complex regulatory documents
- Attention to detail with analytical problem-solving skills