Job Description
Join our dynamic compliance team as a Senior Compliance Officer and help shape regulatory excellence in a remote-friendly environment. We're seeking a detail-oriented professional to ensure adherence to federal, state, and industry regulations while fostering a culture of integrity. Enjoy flexible work arrangements while making a tangible impact in Riverside's growing financial sector. What we offer: Competitive benefits, professional development stipends, and hybrid work options.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and CA state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Provide guidance on regulatory changes and their operational implications
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on compliance policies and ethical standards
- Collaborate with legal and audit teams on cross-functional initiatives
- Lead incident investigations and remediation efforts
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services or regulated industry
- Active CRCM or CCEP certification required
- Proficiency with compliance management software (e.g., MetricStream, RSA Archer)
- Deep knowledge of California DBO regulations and federal banking laws
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication skills with cross-functional teams
- Proven ability to work independently in remote settings