Job Description
We are looking for driven individuals to join our Compliance team in Irvine, California. This is a fantastic opportunity for recent graduates or career changers looking to enter the financial sector without prior experience. We are committed to investing in our team members and provide comprehensive training to ensure your success.
In this role, you will support our senior compliance officers in ensuring the organization adheres to all applicable laws, regulations, and internal policies. If you have a keen eye for detail and a strong ethical compass, we want to hear from you.
Responsibilities
- Assist in the monitoring of daily operations to ensure full compliance with federal and state regulations.
- Prepare, review, and submit required regulatory reports, filings, and documentation accurately.
- Participate in internal audit preparation and assist in the identification of potential compliance risks.
- Communicate complex compliance policies and procedures to employees in a clear, understandable manner.
- Investigate potential policy violations and assist in the development of corrective action plans.
- Conduct research on changes in compliance laws and industry standards to keep the team informed.
- Collaborate with legal and internal departments to resolve compliance-related issues.
Qualifications
- High school diploma or GED required; Bachelor’s degree in Business, Finance, or a related field is preferred.
- Strong attention to detail and the ability to spot errors or inconsistencies in data.
- Excellent written and verbal communication skills with the ability to explain technical concepts simply.
- Ability to work independently as well as part of a collaborative team environment.
- Willingness to undergo training and obtain necessary compliance certifications.
- Basic proficiency with Microsoft Office Suite (Excel, Word, Outlook).