Job Description
Join Nexus Global Solutions as a Remote-Friendly Compliance Officer and drive ethical excellence in our dynamic tech environment. We're seeking a meticulous professional to safeguard our operations while embracing flexible work arrangements. This role offers hybrid flexibility with 2 days/month in our San Jose office for team collaboration. You'll be instrumental in developing our compliance framework, ensuring adherence to FINRA, SEC, and California state regulations. Our culture values innovation, integrity, and work-life balance – perfect for high-achievers seeking impact without geographic constraints.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal and state regulations
- Conduct risk assessments and internal audits for financial services operations
- Train employees on compliance policies and regulatory updates
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and audit teams to ensure regulatory alignment
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Stay current on evolving regulations (e.g., CCPA, GDPR) and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field required
- 5+ years compliance experience in financial services or tech industry
- Certified Compliance & Ethics Professional (CCEP) preferred
- Deep knowledge of FINRA, SEC, and California regulatory frameworks
- Exceptional analytical skills with attention to detail
- Strong written communication for policy creation and reporting
- Experience with GRC software (e.g., RSA Archer, LogicGate)
- Proven ability to work independently in remote settings