Job Description
Join our dynamic team at Innovate Financial Solutions Inc. as a Compliance Officer and become a guardian of regulatory excellence in Glendale, AZ. We're seeking a detail-oriented professional to ensure our organization operates with unwavering integrity while navigating complex regulatory landscapes. This role offers the opportunity to shape compliance frameworks, mentor colleagues, and make a tangible impact on our ethical culture. Enjoy competitive benefits, professional growth opportunities, and a collaborative environment where your expertise is valued.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with federal/state regulations (FINRA, SEC, AML)
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Deliver engaging compliance training to all employee levels
- Stay current on regulatory changes and update policies accordingly
- Collaborate with legal and executive teams on compliance strategy
- Maintain accurate documentation for regulatory reporting
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance/regulatory experience in financial services
- Certified Compliance & Ethics Professional (CCEP) designation
- Deep knowledge of FINRA, SEC, and Arizona state regulations
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication skills
- Experience with compliance management software (e.g., Certify, LogicGate)
- Proven ability to work cross-functionally in matrix organizations