Job Description
Launch your compliance career with our comprehensive paid training program! We're seeking detail-driven professionals to join our dynamic team in Riverside, CA. No prior experience required – we provide everything you need to thrive in this high-demand field.
Why Join Us?
- Full paid training program covering regulatory frameworks, risk assessment, and audit protocols
- Mentorship from industry experts with 10+ years of compliance experience
- Clear career progression path to Senior Compliance roles
- Competitive benefits package including health insurance and retirement plans
Work for a company that invests in your growth while protecting our clients' regulatory integrity.
Responsibilities
- Monitor and ensure adherence to federal, state, and industry-specific regulations (including FINRA, SEC, and CA B&P Code)
- Conduct internal audits and compliance risk assessments across departments
- Develop, implement, and maintain compliance policies and procedures
- Train staff on regulatory requirements and ethical standards
- Investigate and resolve compliance violations with corrective action plans
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Stay current on evolving regulatory landscapes through continuous education
Qualifications
- High school diploma or equivalent; Bachelor's degree in business, finance, or related field preferred
- Strong attention to detail with exceptional analytical skills
- Excellent written and verbal communication abilities
- Proficiency in Microsoft Office Suite and compliance management software
- Ability to maintain confidentiality and handle sensitive information
- Willingness to complete paid certification program (provided by employer)
- Valid driver's license and reliable transportation for occasional site visits