Job Description
Join our award-winning compliance team in Bakersfield and unlock your career potential with a $15,000 sign-on bonus! As a Compliance Officer, you'll safeguard our organization against regulatory risks while enjoying competitive compensation and growth opportunities in California's thriving financial sector. We're seeking a detail-oriented professional to ensure adherence to federal, state, and industry regulations. Apply today to start your journey with industry leaders committed to excellence and employee development.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and California DFI regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Train staff on regulatory changes and compliance protocols
- Prepare comprehensive reports for executive leadership and regulatory bodies
- Monitor legislative updates and assess operational impact
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 24 or 26 license required
- Deep knowledge of California DFI regulations and BSA/AML requirements
- Strong analytical skills with attention to detail
- Experience developing compliance policies and procedures
- Proficient in compliance management software (e.g., OnBase, MetricStream)
- Excellent written and verbal communication skills