Job Description
Join our dynamic team in Las Vegas as a Compliance Officer and become a guardian of regulatory integrity. In this pivotal role, you'll ensure our organization adheres to federal and state regulations while fostering a culture of ethical excellence. We offer a collaborative environment where your expertise will directly impact our operational success and client trust.
Responsibilities
- Monitor and interpret regulatory changes to update compliance policies and procedures
- Conduct internal audits to assess adherence to FINRA, SEC, and Nevada state regulations
- Develop and deliver compliance training programs for all staff levels
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive stakeholders and regulatory bodies
- Collaborate with legal and risk management teams to mitigate compliance risks
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- FINRA Series 63, 65, or 26 licenses required
- Proficiency with compliance software (e.g., Compliance.ai, MetricStream)
- Strong analytical skills with attention to detail
- Excellent written and verbal communication abilities
- Experience with AML/BSA regulations preferred