Job Description
Join our dynamic team as an immediate-hire Compliance Officer at Nevada Financial Group in Reno, NV. We're seeking a detail-oriented professional to ensure regulatory adherence and drive ethical practices across our operations. This is a critical role safeguarding our organization's integrity while supporting business growth in a thriving financial hub.
As a Compliance Officer, you'll collaborate with cross-functional teams to implement robust compliance frameworks, conduct risk assessments, and stay ahead of evolving regulations. We offer competitive compensation, comprehensive benefits, and a supportive culture focused on professional development.
Responsibilities
- Develop and maintain compliance programs aligned with federal/state regulations (FINRA, SEC, NMLS)
- Conduct regular audits and risk assessments to identify compliance gaps
- Investigate and resolve regulatory violations with corrective action plans
- Provide training to staff on compliance policies and procedures
- Monitor regulatory changes and update internal controls accordingly
- Prepare detailed compliance reports for senior leadership
- Collaborate with legal team on regulatory filings and disclosures
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and NMLS requirements
- Certified Regulatory Compliance Manager (CRCM) designation a plus
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., ComplySci, Wolters Kluwer)
- Excellent written communication and documentation abilities
- Ability to manage competing priorities in a fast-paced environment