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Compliance Officer

2 months ago


Las Vegas, Nevada, United States AskDegree, LLC Full time
Job Description

About Us:

At AskDegree LLC, we are a leading provider of compliance and security solutions, dedicated to democratizing access to the tools and services that enable businesses to thrive in the financial services industry.

Our Mission:

We aim to help our partners achieve operational excellence by leveraging our compliance services to deliver actionable insights and intelligence.

Job Summary:

We are seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in providing risk management and compliance services to our partners, including risk assessments, policy and procedures development, licensing management, research, training, advisory, examinations, monitoring and testing, and partnership risk management.

Key Responsibilities:

  • Conduct research on applicable state, federal, and international laws and agency regulations to ensure compliance with industry standards.
  • Work with leadership to track applicable legislation and regulations, analyze their impact on partners, and communicate relevant information to the organization.
  • Stay up-to-date on new regulatory developments by reviewing regulatory publications and industry trade publications.
  • Interface with regulatory authorities on matters relating to compliance with applicable laws or regulations.
  • Collaborate with leadership to participate in internal work-group compliance initiatives to advise and assist with compliance implementation efforts.
  • Monitor and advise on company practices and documentation related to regulatory compliance.
  • Manage assigned regulatory filings for the company and its partners.
  • Collaborate and consult with department management and others as needed to ensure entity management.
  • Serve as the administrator for vendors and their associated tools used by the Compliance Department.
  • Manage training needs and instructions for vendor tools.
  • Handle ongoing oversight of compliance vendors, including vetting current and potential vendors.
  • Work with the contracting department on compliance vendor contracting needs.
  • Manage updates to department policies, procedures, and work instructions as requested.
  • Ensure compliance obligations are addressed prior to due dates by managing the departmental calendar.
  • Assess and respond to partners' requests and follow up on responses, inquiries, or complaints from partners or regulatory agencies.
  • Manage assigned projects by planning, researching, and reviewing deliverables.
  • Read, analyze, and interpret contracts and other legal or business documents.
  • Monitor and keep up-to-date on assigned regulations, legal requirements, or pending legislation.
  • Review partners' communication for operational and regulatory compliance.

Requirements:

  • Relevant experience providing compliance, legal, audit, or related experience.
  • Excellent ability to learn a broad array of skills beyond traditional compliance issues.
  • The highest standards of integrity and ethical judgment with the ability to manage deadlines and changing demands.
  • Ability to provide real-time guidance to the business on compliance matters, including regulatory requirements and control solutions.
  • Strong communication skills and the ability to connect with people; ability to work independently and collaboratively with other compliance and control partners.

What We Offer:

We offer a dynamic and fast-paced work environment, opportunities for professional growth and development, and a competitive compensation package.