Job Description
Join Nexus Compliance Group as a Remote-Friendly Compliance Officer and shape ethical standards in a dynamic tech environment. This pivotal role combines remote flexibility with hands-on regulatory oversight, safeguarding our operations while fostering a culture of integrity. Collaborate with cross-functional teams to ensure adherence to federal, state, and industry regulations, driving proactive risk mitigation strategies. Enjoy competitive compensation, comprehensive benefits, and the freedom to excel from anywhere in the Bay Area.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and CA state regulations
- Conduct risk assessments and internal audits to identify regulatory gaps
- Deliver compliance training to employees and leadership teams
- Investigate and resolve compliance violations with corrective action plans
- Stay current on regulatory changes and update policies accordingly
- Collaborate with Legal and Operations teams on compliance initiatives
- Generate comprehensive compliance reports for executive stakeholders
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in tech or fintech industries
- FINRA Series 24 or 27 certification required
- Proficiency with compliance management software (e.g., OnBase, MetricStream)
- Strong analytical skills with attention to regulatory details
- Excellent written/verbal communication and presentation abilities
- Experience with remote team coordination and digital documentation
- Proven track record in developing compliance frameworks