Job Description
Join our award-winning team as a Compliance Officer in Santa Ana, CA with comprehensive paid training! We're seeking motivated professionals to ensure regulatory adherence across financial operations. This 12-week paid training program covers FINRA/SEC regulations, risk management frameworks, and internal auditing protocols. Enjoy competitive benefits, career advancement opportunities, and a collaborative work environment in Orange County's financial hub.
Responsibilities
- Monitor and enforce compliance with federal/state regulations (Dodd-Frank, AML, KYC)
- Conduct risk assessments and internal audits for financial products
- Develop/update compliance policies and procedures documentation
- Train staff on regulatory changes and compliance protocols
- Investigate potential violations and prepare regulatory reports
- Collaborate with legal and audit teams on compliance initiatives
- Stay current on industry regulatory updates via continuing education
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- 0-3 years experience in compliance, risk management, or auditing
- Strong understanding of financial regulations (FINRA, SEC, CFPB)
- Exceptional analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Proficiency in compliance software (e.g., OnBase, ComplianceEase)
- Ability to obtain FINRA Series 63/65/66 licenses during training
- Detail-oriented with high ethical standards