Job Description
Join our dynamic team at Pacific Financial Group as an Immediate Hire Compliance Officer! We're seeking a meticulous professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. This is your chance to make an immediate impact while advancing your career in one of America's most vibrant cities.
Why Apply Today?
- Immediate start date – no waiting!
- Competitive compensation package with benefits
- Opportunity to shape compliance frameworks
- Work in downtown Seattle's financial district
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (SEC, FINRA, etc.)
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare detailed reports for executive leadership and regulatory bodies
- Train staff on compliance policies and procedures
- Investigate potential violations and recommend corrective actions
- Stay updated on regulatory changes and advise on implications
- Collaborate with legal, operations, and audit teams
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- Certified Compliance & Ethics Professional (CCEP) preferred
- Strong knowledge of FINRA, SEC, and Washington state regulations
- Exceptional analytical and problem-solving skills
- Excellent written/verbal communication abilities
- Ability to thrive in a deadline-driven environment
- Proficiency with compliance software (e.g., Diligent, OneTrust)