Job Description
Join Central Valley Financial Group as a Senior Compliance Officer and lead our regulatory compliance initiatives in California's premier financial hub. We offer a competitive compensation package, comprehensive benefits, and opportunities for career advancement in a dynamic environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal and California state regulations
- Conduct risk assessments and internal audits to ensure adherence to FINRA, SEC, and CA DFS requirements
- Advise senior leadership on regulatory changes and their impact on business operations
- Train staff on compliance policies and regulatory updates
- Manage regulatory reporting and documentation processes
- Collaborate with legal and audit teams to address compliance gaps
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Strong knowledge of CA DFS regulations and federal financial laws
- Relevant certifications (CRCM, CAMS, or CCEP) required
- Experience with compliance management software and reporting tools
- Exceptional analytical and problem-solving abilities