Job Description
Join Nevada Financial Group's dynamic compliance team and become a guardian of regulatory excellence in the heart of Reno! We're seeking a meticulous Compliance Officer to ensure adherence to federal regulations, industry standards, and internal policies. This pivotal role combines strategic risk management with hands-on implementation, offering career growth in a collaborative environment. If you thrive in detail-oriented settings and want to make tangible impacts in financial compliance, apply today!
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and federal regulations
- Conduct regular internal audits and risk assessments to identify compliance gaps
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory updates and policy changes
- Investigate potential violations and recommend corrective actions
- Collaborate with legal, risk, and audit teams on cross-functional initiatives
- Stay current with evolving regulatory landscapes in financial services
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- FINRA Series 24/26 or 27 certification required
- Advanced knowledge of AML, BSA, and Dodd-Frank regulations
- Strong analytical skills with attention to detail
- Experience with compliance software (e.g., RSA Archer, NICE Actimize)
- Excellent written/verbal communication skills
- Proven ability to manage multiple priorities in fast-paced environments