Job Description
Join our dynamic compliance team at Nexus Financial Group, where innovation meets regulatory excellence. As a remote-first company with our headquarters in Los Angeles, we're seeking a meticulous Senior Compliance Officer to safeguard our operations while embracing flexible work arrangements. You'll be pivotal in navigating complex regulatory landscapes, ensuring adherence to FINRA, SEC, and state regulations. This hybrid role offers the perfect blend of in-person collaboration at our Beverly Hills office and remote flexibility. Enjoy competitive benefits, professional development opportunities, and a culture that values integrity and work-life balance.
Responsibilities
- Develop and implement compliance programs aligned with federal, state, and industry regulations
- Conduct thorough risk assessments and internal audits across all business units
- Monitor regulatory changes and advise stakeholders on compliance implications
- Investigate potential violations and recommend corrective actions
- Prepare comprehensive compliance reports for executive leadership and regulatory bodies
- Train staff on compliance policies and ethical standards
- Collaborate with legal and audit teams to ensure cohesive risk management
Qualifications
- Bachelor's degree in Finance, Law, Business Administration, or related field
- 5+ years of compliance experience in financial services or fintech
- FINRA Series 7, 24, or 63/26 certifications preferred
- Proficiency with compliance software (e.g., ComplySci, MetricStream)
- Exceptional analytical and problem-solving abilities
- Strong written communication skills for policy creation and reporting
- Experience with remote work protocols and self-management
- Certified Regulatory Compliance Manager (CRCM) designation a plus