Job Description
Join our dynamic compliance team in sunny San Diego and start making an impact immediately! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence while fostering a culture of integrity. Enjoy competitive compensation, comprehensive benefits, and the opportunity to grow your career in one of America's most vibrant cities. Apply today and begin your journey tomorrow!
Responsibilities
- Monitor regulatory changes and implement compliance policies across financial operations
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop training programs for staff on regulatory requirements
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and executive teams on compliance strategy
- Maintain accurate records of compliance activities and documentation
- Ensure adherence to FINRA, SEC, and California state regulations
Qualifications
- Bachelor's degree in Finance, Business, or related field required
- 3+ years of compliance experience in financial services
- Strong knowledge of federal/state regulations (Dodd-Frank, CA AB 2053)
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., ComplianceEase, Adenza)
- Excellent written and verbal communication abilities
- Ability to prioritize tasks in a fast-paced environment