Job Description
Launch your career in compliance with our dynamic team in Stockton! We're seeking motivated individuals with no prior experience to join our growing compliance department. As an Entry-Level Compliance Officer, you'll gain hands-on experience in regulatory frameworks while contributing to our mission of ethical business practices. Enjoy competitive benefits, mentorship programs, and a supportive environment designed for professional growth. Perfect for recent graduates or career changers looking to enter the thriving compliance field.
Responsibilities
- Monitor and document compliance with federal/state regulations (e.g., FINRA, SEC)
- Assist in developing internal control procedures and policy updates
- Conduct routine audits and prepare detailed compliance reports
- Collaborate with departments to ensure adherence to compliance standards
- Respond to regulatory inquiries and maintain audit trails
- Stay current on industry regulations through continuous training
- Support compliance investigations and corrective action plans
Qualifications
- High school diploma or equivalent (bachelor's preferred but not required)
- Strong attention to detail and organizational skills
- Excellent written and verbal communication abilities
- Proficiency in Microsoft Office Suite (Excel, Word, Outlook)
- Ability to learn and apply complex regulatory concepts
- Basic understanding of business ethics principles
- No prior experience necessary - training provided
- Valid driver's license and reliable transportation