Job Description
Join our dynamic team as a Compliance Officer in Tucson, AZ! Southwest Financial Solutions is seeking a detail-oriented professional to ensure regulatory adherence and foster a culture of compliance excellence. This pivotal role involves monitoring industry changes, implementing policies, and safeguarding our organization against risks. Enjoy competitive compensation, comprehensive benefits, and opportunities for career growth in a supportive environment.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal/state regulations (e.g., FINRA, SEC, AML)
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Provide training to staff on regulatory updates and ethical standards
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and executive teams on compliance strategies
- Stay current on industry regulations through continuous research
- Prepare detailed reports for senior management and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance/regulatory experience in financial services
- Strong knowledge of FINRA/SEC regulations and AML protocols
- Excellent analytical and problem-solving skills
- Professional certification (e.g., CRCM, CAMS) preferred
- Exceptional communication and presentation abilities
- Proven ability to interpret complex regulatory frameworks
- Experience with compliance software (e.g., ComplySci, Wolters Kluwer)