Job Description
Join our dynamic team as an immediate-hire Compliance Officer in Reno, NV! We're seeking a detail-oriented professional to ensure regulatory adherence and drive ethical business practices. This premium opportunity offers competitive compensation, career growth, and the chance to make an immediate impact in a forward-thinking financial services environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (e.g., FINRA, SEC, AML)
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare comprehensive compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory requirements and ethical standards
- Investigate potential violations and recommend corrective actions
- Stay updated on regulatory changes and adapt policies accordingly
- Collaborate with legal, finance, and operations departments
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance/regulatory experience in financial services
- Strong knowledge of FINRA/SEC regulations and AML protocols
- Certified Compliance & Ethics Professional (CCEP) preferred
- Exceptional analytical and problem-solving skills
- Proficiency with compliance management software (e.g., MetricStream, OneTrust)
- Ability to handle confidential information with discretion
- Strong written/verbal communication skills