Job Description
Join our dynamic team as a Compliance Officer at Riverside Financial Services, where integrity meets innovation. We're seeking a meticulous professional to safeguard our operations against regulatory risks while fostering a culture of compliance excellence. This hybrid role combines strategic oversight with hands-on execution in a fast-paced financial environment. Enjoy competitive benefits, professional development opportunities, and the chance to make a tangible impact in Riverside's growing financial sector.
Responsibilities
- Monitor regulatory changes (FINRA, SEC, CFPB) and implement updated compliance protocols
- Conduct internal audits and risk assessments across banking operations
- Develop/maintain compliance documentation and training programs
- Investigate and resolve compliance breaches with corrective action plans
- Liaise with legal counsel and regulatory agencies during examinations
- Lead AML/KYC program enhancements and transaction monitoring
- Prepare comprehensive compliance reports for executive stakeholders
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- FINRA Series 63/65/66 licenses or equivalent certification
- Proficiency in compliance software (e.g., ComplySci, Actimize)
- Strong analytical skills with attention to regulatory nuances
- Experience with BSA/AML and consumer protection regulations
- Excellent written communication for policy development
- Certified Regulatory Compliance Manager (CRCM) certification a plus