Job Description
Join CompliancePro Solutions as a Senior Compliance Officer and become the guardian of regulatory excellence in California's Central Valley! We're seeking a detail-oriented leader to navigate complex financial regulations while driving ethical standards across our dynamic operations.
This premium role offers competitive compensation, comprehensive benefits, and the opportunity to shape compliance strategy for a rapidly growing financial services firm. Work in Fresno's thriving business district while making a tangible impact on regulatory integrity.
Responsibilities
- Develop and implement robust compliance programs aligned with federal (FINRA, SEC) and California state regulations
- Conduct thorough risk assessments and internal audits to identify compliance gaps
- Train staff on regulatory requirements and ethical conduct standards
- Manage regulatory reporting and documentation processes
- Collaborate with legal teams on policy development and regulatory changes
- Investigate potential violations and recommend corrective actions
- Stay current on evolving financial regulations and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (MBA/JD preferred)
- 5+ years of compliance experience in financial services or regulated industry
- FINRA Series 7, 24, or 63 certifications required
- Deep knowledge of California DBO regulations and federal compliance frameworks
- Exceptional analytical skills with attention to detail
- Strong written/verbal communication and presentation abilities
- Experience with compliance software and regulatory reporting tools