Job Description
Join Phoenix Financial Group as our next Compliance Officer and become a guardian of ethical excellence in Arizona's thriving financial sector. We're seeking a detail-oriented professional to design, implement, and monitor robust compliance frameworks that protect our clients, reputation, and regulatory standing. This pivotal role combines strategic oversight with hands-on execution in a dynamic, growth-oriented environment where your expertise directly shapes organizational integrity.
As a cornerstone of our risk management team, you'll collaborate with department leaders to ensure adherence to federal regulations (including SEC, FINRA, and AML requirements), conduct thorough internal audits, and develop actionable remediation plans. Our ideal candidate thrives in fast-paced settings, possesses exceptional analytical skills, and shares our unwavering commitment to regulatory excellence.
Responsibilities
- Develop, implement, and maintain comprehensive compliance policies and procedures aligned with federal/state regulations
- Conduct risk assessments, internal audits, and regulatory monitoring across all business units
- Investigate potential compliance violations, document findings, and recommend corrective actions
- Deliver targeted compliance training to staff at all organizational levels
- Act as primary liaison with regulatory bodies during examinations and inquiries
- Prepare detailed compliance reports for executive leadership and board committees
- Stay current on evolving regulatory landscapes (e.g., Dodd-Frank, CCPA) and update frameworks accordingly
Qualifications
- Bachelor's degree in Finance, Business Administration, Law, or related field (Master's/JD preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Active CRCM or CCEP certification strongly preferred
- Proven expertise in SOX 404, AML, and SEC/FINRA regulations
- Exceptional analytical skills with ability to interpret complex regulatory requirements
- Advanced proficiency in compliance software (e.g., RSA Archer, LogicGate)
- Strong written/verbal communication skills with ability to train diverse audiences
- Ability to thrive in deadline-driven environments with competing priorities