Job Description
Are you a detail-oriented professional looking for a high-impact opportunity in the finance sector? Pacific Coast Financial Services is currently seeking a skilled Compliance Officer to lead our regulatory initiatives in Bakersfield, CA.
We are excited to announce a $5,000 Sign-On Bonus for top-tier talent ready to make an immediate impact. If you have a strong background in regulatory frameworks and a passion for integrity, we want to hear from you.
As the Compliance Officer, you will serve as the guardian of our organization's reputation by ensuring strict adherence to state and federal laws. You will work closely with executive leadership to mitigate risk and foster a culture of compliance.
Responsibilities
- Develop & Implement Policies: Create and maintain comprehensive compliance programs and internal policies to ensure adherence to all regulatory standards.
- Risk Assessment: Conduct regular internal audits, risk assessments, and monitoring activities to identify potential vulnerabilities.
- Regulatory Reporting: Prepare and submit accurate regulatory reports to state agencies (DFPI) and federal bodies (SEC/FINRA) in a timely manner.
- Training & Education: Deliver compliance training sessions to staff and management to ensure awareness of legal obligations and ethical standards.
- Investigations: Lead investigations into potential violations or complaints, analyzing evidence and recommending corrective actions.
- Stakeholder Communication: Serve as the primary point of contact for external auditors and regulatory examiners.
Qualifications
- Education: Bachelor’s degree in Finance, Business Administration, Law, or a related field is required.
- Experience: Minimum of 3-5 years of progressive experience in compliance, auditing, or risk management within the financial services industry.
- Certifications: CFC (Certified Fraud Examiner) or CFE (Certified in Financial Crime) preferred; CFP or JD is a plus.
- Knowledge: Deep understanding of California state financial regulations and federal securities laws.
- Skills: Excellent analytical skills, attention to detail, and the ability to interpret complex legal documents.
- Communication: Superior verbal and written communication skills with the ability to train and mentor diverse teams.