Compliance Officer

Most clients live within an hour's drive and come in for reviews twice a year. Everyone here is salaried. Nobody is paid on product sales. Licensing exams (SIE, Series 7, Series 66) are paid for, with study time during work hours.

Job summary

The Compliance Officer monitors and tests compliance with banking regulations at a community bank with $2.5B in assets and 30 branches. Our team is spread across 14 countries. Headquarters is in Sacramento. This is a long-term contractor role, paid monthly in USD. You will need at least 3 hours of overlap with US Pacific time. Equipment is provided, including a laptop.

In this role you will

• Vet new products, marketing materials and disclosures before launch
• Coordinate regulatory exams and audit requests, and follow findings to closure
• Train employees on annual compliance topics and new rules
• Perform enhanced due diligence reviews on higher-risk accounts
• Investigate customer complaints that raise compliance issues

What you'll need

• Strong writing for policies, findings and board reports
• Organised, with a careful approach to documentation
• Comfortable training groups and presenting to committees

What you get

Salary range: $9.00 - $10.50 per hour

• Paid time off
• Paid in USD
• Flexible hours
• Annual rate review

We may close this posting early once we have enough applications.

Duration: 9 months. Start: Immediately.

Demo job created on 11jobs for testing and demonstrations. It is not an actual opening at Sacramento Advisors, Inc..