Job Description
Join Nexus Financial Services as a Compliance Officer and become a guardian of regulatory excellence in the heart of Silicon Valley. We're seeking a detail-oriented professional to ensure our financial operations adhere to federal, state, and industry regulations while fostering a culture of ethical integrity. This hybrid role offers the opportunity to shape compliance frameworks and collaborate with cross-functional teams in a dynamic environment. Your expertise will directly impact our clients' trust and our organization's reputation.
Responsibilities
- Monitor and interpret regulatory changes (e.g., FINRA, SEC, CFPB) to update internal policies
- Conduct risk assessments and internal audits across business units
- Develop and deliver compliance training programs for 200+ employees
- Investigate and resolve compliance violations with corrective action plans
- Liaise with legal counsel and regulatory bodies during examinations
- Implement AML/KYC procedures for client onboarding
- Generate monthly compliance reports for executive leadership
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Certification (CRCM, CAMS, or CCEP) strongly preferred
- Expert knowledge of CA and federal financial regulations
- Advanced proficiency in compliance software (e.g., MetricStream, RSA Archer)
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication skills
- Experience managing compliance audits