Job Description
Join our dynamic team as an Immediate Hire Compliance Officer in Reno, NV! We're seeking a detail-oriented professional to ensure regulatory adherence and drive ethical practices across our financial operations. This is your chance to make an immediate impact in a fast-paced environment with competitive compensation and growth opportunities.
Responsibilities
- Monitor regulatory changes and implement compliance policies for FINRA, SEC, and state regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare and maintain compliance documentation, including SAR filings and policy manuals
- Train staff on compliance procedures and regulatory updates
- Collaborate with legal and senior leadership on compliance initiatives
- Investigate potential violations and recommend corrective actions
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) designation preferred
- Strong knowledge of FINRA, SEC, and Nevada state regulations
- Exceptional analytical and problem-solving abilities
- Proficiency in compliance software (e.g., ComplySci, Adenza)
- Excellent written and verbal communication skills