Job Description
Join Nexus Financial Group as a Compliance Officer and shape our regulatory framework while enjoying unmatched flexibility. We're seeking a detail-oriented professional to ensure adherence to federal and state regulations, with the freedom to structure your schedule around your life. Our Scottsdale headquarters offers hybrid work options and a collaborative environment where your expertise directly impacts our compliance culture.
As a cornerstone of our risk management team, you'll develop policies, conduct audits, and stay ahead of evolving regulations—all while maintaining a healthy work-life balance. We provide competitive compensation, comprehensive training, and opportunities for professional growth in a dynamic financial services sector.
Responsibilities
- Develop, implement, and monitor compliance policies aligned with FINRA, SEC, and state regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Stay current on regulatory changes and provide training to staff
- Prepare detailed compliance reports for senior management and regulatory bodies
- Collaborate with legal and operations teams on compliance initiatives
- Manage compliance documentation and record-keeping systems
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and Arizona state regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving abilities
- Proficient in compliance software and MS Office Suite
- Excellent written communication skills for policy development
- Ability to work independently with minimal supervision