Job Description
Join our dynamic compliance team in Denver and become a guardian of ethical financial practices. We're seeking a meticulous Compliance Officer to design, implement, and monitor robust regulatory frameworks that ensure our organization operates with integrity and transparency. This role offers the opportunity to shape compliance strategies while safeguarding our clients' interests and maintaining industry-leading standards.
Responsibilities
- Develop and maintain comprehensive compliance programs aligned with federal (SEC, FINRA, CFPB) and state regulations
- Conduct risk assessments and internal audits to identify compliance vulnerabilities
- Provide expert guidance to stakeholders on regulatory changes and their operational impacts
- Investigate and resolve compliance breaches with documented corrective actions
- Design and deliver engaging compliance training programs for all employee levels
- Prepare detailed reports for executive leadership and regulatory bodies
- Collaborate with legal and internal audit teams to ensure cohesive risk management
Qualifications
- Bachelor's degree in Finance, Law, Business Administration, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industries
- Deep knowledge of SEC regulations, FINRA rules, and Colorado state compliance requirements
- Strong analytical skills with experience in risk assessment and audit methodologies
- Excellent written communication abilities for policy development and reporting
- Certified Compliance & Ethics Professional (CCEP) designation required
- Proven track record of implementing successful compliance programs