Job Description
Join our dynamic team as a Senior Compliance Officer at Innovate Financial Solutions, where we're pioneering ethical finance in the Pacific Northwest. This critical role ensures regulatory adherence while driving our compliance framework forward. You'll collaborate with cross-functional teams to implement best practices, mitigate risks, and maintain our industry-leading standards. Enjoy competitive benefits, professional development opportunities, and a commitment to work-life balance in Portland's vibrant business district.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal (FINRA, SEC) and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Advise stakeholders on regulatory changes and their operational impact
- Prepare and submit regulatory reports to governing bodies
- Lead investigations of compliance violations and recommend corrective actions
- Train staff on compliance policies and procedures
- Stay current with evolving financial regulations through continuous education
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7 and 63/66 licenses required
- Strong knowledge of federal and state banking regulations
- Experience with compliance software (e.g., ComplySci, RiskOptics)
- Excellent analytical and problem-solving abilities
- Strong written and verbal communication skills
- Professional certification (CRCM, CAMS) preferred