Job Description
Join our dynamic team as a Compliance Officer at Pacific Northwest Financial Group, where integrity meets innovation. In this pivotal role, you'll safeguard our organization's reputation by ensuring adherence to federal regulations, industry standards, and internal policies. Collaborate with cross-functional teams to develop robust compliance frameworks while driving a culture of ethical excellence. Enjoy competitive benefits, professional development opportunities, and the chance to make a tangible impact in Seattle's thriving financial sector.
Responsibilities
- Monitor and interpret regulatory changes (e.g., FINRA, SEC, OCC) to update compliance policies
- Conduct risk assessments and internal audits for financial products and services
- Develop and deliver compliance training programs to staff across departments
- Investigate potential violations and recommend corrective actions
- Liaise with regulators during examinations and inquiries
- Prepare compliance reports for executive leadership and board committees
- Manage compliance documentation and record-keeping systems
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years compliance experience in financial services or fintech
- Certification (CRCM, CAMS, or CCEP) strongly preferred
- Deep knowledge of federal/state financial regulations
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication skills
- Proficiency with compliance software (e.g., RSA Archer, LogicGate)
- Ability to thrive in fast-paced, deadline-driven environments