Job Description
Join our dynamic compliance team in Stockton, CA and start your new role tomorrow! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence across financial operations. This urgent opening requires immediate availability to implement compliance frameworks, conduct risk assessments, and maintain audit trails. Enjoy competitive compensation, comprehensive benefits, and career growth in a fast-paced environment. Apply now to begin your impactful journey in regulatory compliance!
Responsibilities
- Develop and implement compliance policies aligned with federal/state regulations (Dodd-Frank, AML, BSA)
- Conduct internal audits and risk assessments to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports for FINRA, SEC, and state authorities
- Train staff on compliance procedures and regulatory updates
- Monitor industry changes to adapt compliance programs
- Collaborate with legal and management teams on compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Advanced proficiency in compliance software (e.g., MetricStream, RSA Archer)
- Exceptional analytical and problem-solving skills
- Ability to thrive in fast-paced, deadline-driven environments
- Immediate availability to start within 48 hours