Job Description
Join Nexus Financial Group's dynamic compliance team in Irvine, CA, where regulatory excellence meets innovation-driven finance. As a Compliance Officer, you'll safeguard our operations while shaping industry standards in a rapidly evolving landscape. Enjoy competitive benefits, professional growth opportunities, and a collaborative culture that values integrity and proactive risk management.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with FINRA, SEC, and state regulations
- Conduct thorough risk assessments and internal audits to identify compliance gaps
- Provide expert guidance on regulatory changes and their operational implications
- Design and deliver compliance training programs for staff across all departments
- Investigate and resolve compliance incidents with thorough documentation
- Collaborate with legal and executive teams to ensure regulatory alignment
- Maintain meticulous records and prepare regulatory reports for submission
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or fintech
- Certified Regulatory Compliance Manager (CRCM) or similar designation required
- Deep expertise in FINRA rules, SEC regulations, and California state laws
- Exceptional analytical skills with attention to detail
- Strong written/verbal communication and presentation abilities
- Proficiency in compliance software (e.g., Compliance.ai, MetricStream)
- Proven experience managing compliance audits and investigations