Job Description
Join our dynamic team as an Entry-Level Compliance Officer and launch your career in regulatory oversight! We're seeking motivated individuals with no prior experience who are eager to learn and grow in the financial compliance sector. This role offers comprehensive training, mentorship from industry experts, and a clear path for advancement. As a key member of our compliance department, you'll ensure adherence to federal regulations, protect client interests, and maintain the integrity of our operations. If you're detail-oriented, proactive, and passionate about ethical business practices, this is your opportunity to build a rewarding career in Stockton's thriving financial district.
Responsibilities
- Monitor and ensure compliance with federal and state regulations including FINRA, SEC, and AML requirements
- Assist in developing and implementing internal compliance policies and procedures
- Conduct preliminary reviews of business activities to identify potential compliance risks
- Document compliance activities and prepare reports for senior management review
- Collaborate with cross-departmental teams to resolve compliance-related inquiries
- Stay updated on regulatory changes through training and research
- Support internal audits and regulatory examinations as assigned
Qualifications
- High school diploma or equivalent (college degree preferred but not required)
- Strong attention to detail and organizational skills
- Excellent written and verbal communication abilities
- Basic proficiency in Microsoft Office Suite (Word, Excel, Outlook)
- Ability to learn complex regulatory concepts through training
- Proactive problem-solving approach with strong ethical standards
- Willingness to obtain relevant compliance certifications (company-sponsored)
- Valid driver's license and reliable transportation