Job Description
Join Nevada Financial Services as a Compliance Officer and become a guardian of ethical standards in Reno's thriving financial sector. We're seeking a detail-oriented professional to ensure adherence to federal regulations, internal policies, and industry best practices. This role offers the opportunity to shape compliance frameworks while working with a dynamic team committed to integrity and innovation.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare regulatory reports and maintain accurate documentation
- Train staff on compliance policies and regulatory updates
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and executive teams on compliance initiatives
- Stay current with evolving financial regulations and industry trends
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services
- FINRA Series 7, 24, or 63 certifications strongly preferred
- Proficiency with compliance software and data analysis tools
- Excellent written and verbal communication skills
- Strong problem-solving and decision-making abilities
- Knowledge of Nevada state financial regulations
- Ability to handle confidential information with discretion