Job Description
Join our dynamic team at Regulus Financial Group as a Compliance Officer in Seattle! We're seeking a detail-oriented professional to ensure regulatory adherence and drive ethical business practices. This immediate hire opportunity offers competitive compensation and career growth in a fast-paced financial environment. Help us maintain industry-leading compliance standards while making a tangible impact on our organization's success.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal/state regulations (FINRA, SEC, etc.)
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Train employees on compliance requirements and ethical standards
- Investigate and resolve compliance violations through corrective actions
- Prepare detailed reports for senior management and regulatory bodies
- Collaborate with legal and operations teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and Washington state laws
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software and data analysis tools
- Excellent written/verbal communication abilities
- Ability to thrive in deadline-driven environments