Job Description
Join our dynamic compliance team in Philadelphia and enjoy the financial stability of weekly paychecks! As a Compliance Officer at Nexus Financial Group, you'll play a pivotal role in ensuring adherence to federal regulations while advancing your career in a supportive, growth-oriented environment. We value your expertise and reward it promptly with our unique weekly compensation structure.
Why Nexus Financial Group?
- Weekly paychecks for immediate financial flexibility
- Comprehensive benefits package including health/dental/vision
- 401(k) with company match
- Professional development stipend
- Hybrid work schedule (3 days in office, 2 remote)
Responsibilities
- Monitor and ensure adherence to FINRA, SEC, and state regulatory requirements
- Conduct internal audits and compliance risk assessments
- Develop/update compliance policies and procedures
- Train staff on regulatory changes and compliance protocols
- Investigate and resolve compliance violations
- Prepare regulatory filings and management reports
- Collaborate with legal and internal audit teams
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- FINRA Series 7, 24, or 63/66 certifications preferred
- Strong knowledge of AML, KYC, and BSA regulations
- Exceptional analytical and problem-solving skills
- Proficient in compliance software (e.g., Smartsheet, Compliance.ai)
- Ability to manage competing priorities in a fast-paced environment