Job Description
Join our dynamic team as a Compliance Officer in Scottsdale, AZ! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our financial services operations. This immediate hire opportunity offers competitive compensation, comprehensive benefits, and career growth in a thriving desert metropolis.
As a Compliance Officer, you'll safeguard our organization against regulatory violations while fostering a culture of integrity. Scottsdale's vibrant business environment provides the perfect backdrop for making an immediate impact in compliance excellence.
Responsibilities
- Monitor regulatory changes (FINRA, SEC, AML) and implement updated compliance protocols
- Conduct internal audits and risk assessments across all business units
- Develop and maintain compliance training programs for 200+ employees
- Investigate and resolve compliance breaches with corrective action plans
- Collaborate with legal and executive teams on regulatory reporting
- Manage compliance documentation and audit trail maintenance
- Lead cross-functional compliance initiatives for new product launches
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) designation required
- Advanced knowledge of FINRA/SEC regulations and AML protocols
- Proficient in compliance software (e.g., MetricStream, ComplianceEase)
- Exceptional analytical and investigative skills
- Strong written communication for policy development
- Ability to thrive in fast-paced, deadline-driven environment