Job Description
Join our dynamic compliance team at Scottsdale Financial Group and make an immediate impact! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence and drive ethical practices across all operations. This is your chance to join a forward-thinking financial institution in Scottsdale's thriving business district, where innovation meets integrity. Enjoy competitive compensation, comprehensive benefits, and a supportive culture that values professional growth.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, AML) to update compliance policies
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and deliver compliance training programs for staff at all levels
- Investigate potential violations and prepare corrective action reports
- Act as primary liaison between legal, operations, and regulatory bodies
- Maintain accurate compliance documentation and reporting systems
- Lead special projects addressing emerging compliance challenges
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Active FINRA Series 7, 24, or 63/66 certifications
- Proficiency with compliance software (e.g., Diligence, LogicGate)
- Strong knowledge of federal and state regulations
- Exceptional analytical and problem-solving abilities
- Excellent communication skills for stakeholder interactions
- Experience with AML/KYC protocols and transaction monitoring