Job Description
Join our award-winning team at Northwest Financial Group as a Compliance Officer in the heart of Seattle's financial district. We're seeking a detail-oriented professional to ensure regulatory adherence while enjoying the unique benefit of weekly pay. This hybrid role offers competitive compensation, comprehensive benefits, and opportunities for career growth in a dynamic fintech environment.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, state regulations)
- Conduct internal audits and risk assessments across financial products
- Develop/update compliance policies and procedures documentation
- Train staff on regulatory requirements and ethical standards
- Investigate and resolve compliance violations with corrective actions
- Prepare regulatory reports and maintain audit trails
- Collaborate with legal and operations teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law or related field
- 3+ years compliance experience in financial services
- FINRA Series 63/65 or 66 license required
- Advanced knowledge of federal/state banking regulations
- Proficient in compliance software (e.g., Smartsheet, Diligent)
- Strong analytical and investigative skills
- Excellent written/verbal communication abilities
- Experience with AML/BSA protocols