Job Description
Join our dynamic team as a Compliance Officer at Innovate Financial Solutions, where integrity drives innovation. You'll be the guardian of regulatory excellence in the heart of Portland's thriving financial district. This pivotal role combines strategic oversight with hands-on execution to ensure our operations exceed compliance standards while fostering a culture of ethical conduct.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with federal (SEC, FINRA), state, and industry regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory updates and advise stakeholders on policy implications
- Lead investigations and remediation of compliance violations
- Train staff on regulatory requirements and ethical standards
- Prepare detailed compliance reports for executive leadership and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- Active CRCM, CCEP, or CAMS certification strongly preferred
- Expertise in FINRA rules and SEC regulations
- Proven track record in developing compliance frameworks
- Exceptional analytical and communication skills
- Experience with compliance software (e.g., RSA Archer, MetricStream)