Job Description
Join our dynamic compliance team in Stockton, CA and make an immediate impact! We're seeking a detail-oriented Compliance Officer to start tomorrow and ensure our organization meets all regulatory requirements. This is a high-stakes role where you'll safeguard our operations while driving ethical business practices. If you're ready to hit the ground running in a fast-paced financial environment, apply today!
Responsibilities
- Monitor and enforce adherence to federal, state, and local regulations including FINRA, SEC, and AML guidelines
- Conduct regular internal audits and compliance risk assessments across all departments
- Develop, implement, and maintain comprehensive compliance policies and procedures
- Investigate potential violations and recommend corrective actions with documentation
- Provide ongoing compliance training to staff at all organizational levels
- Stay current on regulatory changes and update compliance frameworks accordingly
- Collaborate with legal counsel on compliance matters and regulatory inquiries
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services or regulated industry
- Certified Compliance & Ethics Professional (CCEP) designation strongly preferred
- Deep knowledge of FINRA, SEC, and California state regulations
- Exceptional analytical skills with attention to detail
- Strong written and verbal communication abilities
- Ability to work independently and manage multiple deadlines
- Proficiency in compliance management software (e.g., MetricStream, Compliance.ai)