Job Description
Join our dynamic team at Northwest Financial Group as a Compliance Officer in Portland, OR. As a key member of our risk management division, you'll safeguard our operations against regulatory violations while driving ethical business practices. We offer a collaborative environment where your expertise will directly impact our commitment to financial integrity and client trust. Enjoy competitive benefits, professional development opportunities, and the chance to shape compliance frameworks in a growing Pacific Northwest institution.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (FINRA, SEC, OCC) and state laws
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Provide compliance training to staff across departments
- Stay updated on regulatory changes and advise leadership on impacts
- Prepare detailed reports for senior management and regulatory bodies
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and Oregon state laws
- Certified Compliance & Ethics Professional (CCEP) preferred
- Exceptional analytical and problem-solving skills
- Experience with compliance software (e.g., MetricStream, RSA Archer)
- Ability to communicate complex concepts to non-technical stakeholders
- Proven track record in developing compliance frameworks