Job Description
Join Valley Financial Partners as a Senior Compliance Officer and lead our regulatory excellence program in California's thriving Central Valley. This high-impact role offers a competitive salary package with comprehensive benefits and opportunities for career advancement in a dynamic financial services environment.
As a key member of our Risk Management Division, you'll safeguard our organization against regulatory violations while driving ethical business practices. We're seeking a detail-oriented professional with proven experience in financial compliance to join our Fresno headquarters.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with federal regulations (Dodd-Frank, BSA/AML) and California state laws
- Conduct risk assessments and internal audits to identify compliance gaps and mitigation strategies
- Monitor regulatory changes and update policies/procedures to ensure ongoing adherence
- Train staff on compliance requirements and ethical conduct standards
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain documentation for audits
- Collaborate with legal, operations, and executive teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business Administration, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Strong knowledge of FINRA, SEC, and California DBO regulations
- Certified Regulatory Compliance Manager (CRCM) or CAMS certification required
- Experience with compliance management software (e.g., Wolters Kluver, MetricStream)
- Exceptional analytical skills with attention to detail
- Proven ability to interpret complex regulations and communicate requirements
- Valid driver's license and ability to travel occasionally