Job Description
Join our dynamic compliance team in sunny San Diego and start your new career tomorrow! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence while driving ethical business practices. Enjoy competitive compensation, comprehensive benefits, and the opportunity to make an immediate impact in a fast-paced financial services environment.
Responsibilities
- Monitor and implement federal/state compliance regulations (FINRA, SEC, CFPB)
- Conduct internal audits and risk assessments across departments
- Develop/update compliance policies and procedures documentation
- Train staff on regulatory changes and compliance protocols
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain audit trails
- Collaborate with legal and senior leadership on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/regulatory experience in financial services
- Strong knowledge of FINRA/SEC regulations and AML protocols
- Excellent analytical and problem-solving abilities
- Proficient in compliance software (e.g., Certify, LogicGate)
- Strong written/verbal communication skills
- Ability to prioritize tasks in fast-paced environments
- Relevant certifications (CRCM, CAMS) preferred