Job Description
Are you a detail-oriented professional looking to make a tangible impact? Join **Northwest Finance Group** as our new Compliance Officer. We are seeking an experienced individual to ensure our operations adhere to federal and state regulations in the dynamic Seattle market.
Why Join Us?
- Immediate Hire: Start your career with us right away.
- Competitive Package: Earn between $90k and $140k depending on experience.
- Growth Opportunities: Work within a leading financial institution.
We are committed to maintaining the highest standards of integrity and regulatory excellence.
Responsibilities
- Monitor and audit internal policies to ensure adherence to SEC, FINRA, and state regulations.
- Develop and implement comprehensive compliance training programs for staff.
- Conduct regular risk assessments and identify areas for improvement.
- Investigate internal complaints and potential violations of company policy.
- Prepare and submit necessary regulatory reports to governing bodies.
- Stay updated on changes in financial laws and recommend adjustments to internal protocols.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or related field required.
- 3-5 years of experience in a compliance or regulatory role within the financial sector.
- Strong knowledge of FINRA Rule 3310 and SEC regulations.
- Excellent analytical and problem-solving skills with keen attention to detail.
- Strong written and verbal communication abilities.
- Must be willing to obtain necessary securities licenses.