Job Description
Join our dynamic team as a Compliance Officer in Portland's thriving financial district. We're seeking a detail-oriented professional to safeguard our organization's integrity by ensuring adherence to federal, state, and industry regulations. This pivotal role requires proactive risk assessment, policy development, and cross-functional collaboration to maintain a robust compliance framework. Enjoy competitive benefits, professional development opportunities, and a supportive work culture in one of America's most livable cities.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare comprehensive reports for executive leadership and regulatory bodies
- Train staff on compliance policies and regulatory updates
- Collaborate with legal, operations, and HR departments on compliance initiatives
- Stay current on evolving regulatory changes and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services or regulated industry
- FINRA Series 7, 63, and 24 certifications required
- Strong knowledge of federal banking regulations and Oregon state laws
- Exceptional analytical and problem-solving abilities
- Excellent written/verbal communication skills
- Proficiency with compliance management software (e.g., NASD, Bloomberg)