Job Description
We're seeking an immediate-hire Compliance Officer to join our dynamic team in Las Vegas, NV. As a key regulatory guardian, you'll ensure adherence to federal and state financial regulations while driving ethical business practices. This high-impact role offers competitive compensation, comprehensive benefits, and the chance to make a direct impact in our growing organization.
Why Join Us?
• Immediate start date
• Industry-leading compensation package
• Career advancement opportunities
• Collaborative, fast-paced environment
Responsibilities
- Monitor and ensure adherence to FINRA, SEC, and Nevada state regulations
- Develop and implement internal compliance policies and procedures
- Conduct regular risk assessments and internal audits
- Investigate and resolve compliance violations with corrective action plans
- Prepare regulatory filings and compliance reports
- Train staff on regulatory changes and best practices
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 5+ years of compliance/regulatory experience in financial services
- FINRA Series 24 or 27 certification preferred
- Proficiency with compliance management software (e.g., Compliance.ai, OnBase)
- Strong analytical and problem-solving abilities
- Exceptional written and verbal communication skills
- Ability to thrive in a fast-paced, regulated environment