Job Description
Join our dynamic team in Las Vegas as a Compliance Officer where you'll safeguard our organization against regulatory risks while driving ethical excellence. We offer a collaborative environment where your expertise in regulatory frameworks will directly impact our operational integrity and client trust.
As a key member of our compliance division, you'll develop robust compliance programs, conduct thorough risk assessments, and ensure adherence to federal and state regulations including FINRA, SEC, and NMLS requirements. Our commitment to professional growth includes competitive compensation, comprehensive benefits, and opportunities for industry certifications.
Responsibilities
- Develop, implement, and maintain comprehensive compliance programs aligned with regulatory requirements
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Investigate potential violations and recommend corrective actions
- Provide compliance training to staff across all departments
- Prepare detailed reports for senior management and regulatory bodies
- Collaborate with legal and operations teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- Active FINRA Series 7, 24, or 63/65 certifications
- Deep knowledge of federal/state regulations (NMLS, BSA, AML)
- Strong analytical skills with attention to detail
- Excellent written/verbal communication abilities
- Experience with compliance software (e.g., Bond, Smarsh)
- Ability to thrive in fast-paced, regulated environments