Job Description
Join our dynamic team as an immediate hire Compliance Officer in Scottsdale, AZ. We're seeking a detail-oriented professional to ensure regulatory adherence and drive ethical business practices. This premium opportunity offers competitive compensation and rapid onboarding for qualified candidates.
As a Compliance Officer, you'll safeguard our organization against legal risks while fostering a culture of integrity. Your expertise will directly impact our operational excellence and regulatory standing in the financial services sector.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, OCC) to update compliance policies
- Conduct internal audits and risk assessments for financial operations
- Develop and implement compliance training programs for staff
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for senior leadership and regulators
- Collaborate with legal and audit teams on compliance initiatives
- Ensure adherence to AML, KYC, and anti-fraud regulations
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 3+ years compliance experience in financial services
- FINRA Series 7, 24, or 63 certifications required
- Advanced knowledge of federal/state banking regulations
- Proficiency in compliance software (e.g., Fenergo, MetricStream)
- Strong analytical and investigative skills
- Excellent written/verbal communication abilities
- Ability to thrive in fast-paced regulatory environments