Job Description
Join our award-winning compliance team at Global Financial Group in Mesa, AZ! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence across all operations. This premium role offers a $5,000 sign-on bonus for qualified candidates who start before December 31, 2023. Enjoy competitive benefits, professional development opportunities, and a collaborative culture dedicated to ethical excellence.
Why Join Us? Our Mesa headquarters features modern workspaces, flexible scheduling, and industry-leading training programs. We pride ourselves on fostering growth while maintaining strict compliance standards in the financial services sector.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, AML) to update compliance policies
- Conduct internal audits and risk assessments across departments
- Develop and deliver compliance training programs for 200+ employees
- Investigate potential violations and recommend corrective actions
- Liaise with external regulators during examinations and inquiries
- Maintain accurate compliance documentation and reporting systems
- Collaborate with legal team on regulatory filings and disclosures
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services
- FINRA Series 63/65 or 66 license required
- Advanced knowledge of federal/state banking regulations
- Strong analytical skills with attention to detail
- Experience with compliance management software (e.g., OnBase, Certegy)
- Excellent written/verbal communication skills
- Certified Compliance & Ethics Professional (CCEP) a plus