Job Description
Immediate Hire: Join our dynamic compliance team in Las Vegas, NV! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence and mitigate risks in the financial services sector. This urgent opening offers competitive compensation and rapid onboarding for qualified candidates.
As a key member of our risk management division, you'll safeguard our organization against compliance violations while fostering a culture of ethical operations. Enjoy career growth in Nevada's thriving financial hub with full benefits and flexible scheduling options.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (SEC, FINRA, etc.)
- Conduct regular internal audits and risk assessments across departments
- Investigate and resolve compliance violations with corrective action plans
- Prepare detailed regulatory reports for executive stakeholders and governing bodies
- Train staff on updated compliance policies and procedures
- Collaborate with legal counsel on regulatory changes and enforcement actions
- Maintain accurate documentation of compliance activities and findings
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- 3+ years compliance/regulatory experience in financial services
- Active FINRA Series 63/65/66 licenses or willingness to obtain immediately
- Proficiency with compliance software (e.g., ComplianceEase, MetricStream)
- Strong analytical skills with attention to detail
- Excellent written/verbal communication abilities
- Ability to thrive in fast-paced, high-stakes environments
- Knowledge of AML, KYC, and anti-fraud regulations