Job Description
Join FinSecure Partners, a leading financial services firm, as our next Compliance Officer in Denver. This pivotal role ensures regulatory adherence while driving strategic compliance initiatives across our growing organization. You'll be instrumental in safeguarding our operations and reputation in a dynamic regulatory landscape. We offer a collaborative environment with competitive benefits and career growth opportunities.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal/state regulations (SEC, FINRA, etc.)
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance requirements and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain documentation trails
- Collaborate with legal and senior leadership on compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- Active FINRA Series 65 or 66 certification required
- Strong knowledge of SEC, FINRA, and Colorado state regulations
- Excellent analytical and problem-solving abilities
- Advanced proficiency in compliance management software
- Exceptional written and verbal communication skills
- Proven ability to manage complex compliance projects