Job Description
We are urgently seeking a detail-oriented Compliance Officer to join our dynamic team in Reno, NV. This critical role ensures adherence to federal and state regulations while safeguarding our organization's integrity. You'll develop robust compliance frameworks, conduct risk assessments, and drive regulatory awareness across departments. If you're passionate about ethical standards and want to make an immediate impact in a growing financial hub, apply today!
Responsibilities
- Develop, implement, and maintain compliance policies aligned with FINRA, SEC, and state regulations
- Conduct internal audits and risk assessments to identify potential compliance gaps
- Monitor regulatory changes and advise stakeholders on implications for business operations
- Prepare comprehensive compliance reports for executive leadership and regulatory bodies
- Lead employee training programs on compliance protocols and ethical conduct
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal, audit, and operations teams to ensure cohesive compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field; Master's or JD preferred
- 5+ years of compliance experience in financial services or regulated industry
- Certified Compliance & Ethics Professional (CCEP) designation required
- Deep expertise in AML, BSA, and state-specific gaming regulations
- Exceptional analytical skills with ability to interpret complex regulations
- Proven experience creating compliance training programs and documentation
- Strong proficiency in compliance management software and MS Office Suite