Job Description
Join our award-winning financial institution as a Compliance Officer and become a guardian of ethical excellence in Scottsdale's thriving business landscape. We're seeking a proactive professional to ensure regulatory adherence while driving innovation in compliance frameworks. This hybrid role offers competitive compensation, comprehensive benefits, and opportunities for career advancement within a dynamic team environment.
Our ideal candidate will thrive in a fast-paced setting where attention to detail meets strategic thinking. You'll collaborate with cross-functional teams to implement robust compliance programs while maintaining a culture of integrity and accountability.
Responsibilities
- Develop, implement, and monitor compliance policies aligned with federal regulations (FINRA, SEC, CFPB) and state-specific requirements
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Provide guidance on regulatory changes including AML, KYC, and consumer protection laws
- Lead compliance training initiatives for staff across all departments
- Investigate and resolve compliance violations through root cause analysis
- Prepare detailed reports for senior management and regulatory bodies
- Collaborate with legal team on regulatory submissions and examinations
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field; advanced degree preferred
- 5+ years of compliance experience in financial services or regulated industry
- Certified Regulatory Compliance Manager (CRCM) or CAMS designation required
- Deep knowledge of federal/state financial regulations and industry standards
- Exceptional analytical skills with ability to interpret complex regulatory requirements
- Proven experience developing compliance programs and risk mitigation strategies
- Strong written/verbal communication skills with ability to train diverse audiences
- Proficiency in compliance software (e.g., ComplySci, PolicyPro) and MS Office Suite