Job Description
Join our award-winning team as a Compliance Officer and become a guardian of ethical excellence at Global Financial Solutions Inc. We're seeking a dedicated professional to ensure regulatory adherence across all operations in our growing Tucson office. This hybrid role offers competitive compensation, comprehensive benefits, and the opportunity to shape our compliance framework while making a tangible impact on our community.
Our dynamic financial services firm values integrity, innovation, and work-life balance. You'll collaborate with cross-functional teams to mitigate risks, implement best practices, and maintain our stellar reputation in the industry. This is your chance to advance your career in compliance while enjoying Arizona's vibrant lifestyle.
Responsibilities
- Monitor regulatory changes and update internal policies to ensure full compliance with federal/state laws (e.g., AML, FINRA, SEC)
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and deliver compliance training programs to all staff
- Investigate potential violations and recommend corrective actions
- Maintain accurate compliance documentation and reporting
- Liaise with regulatory bodies during examinations or audits
- Lead compliance initiatives for new product launches and service expansions
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) preferred
- Strong knowledge of FINRA, SEC, and Arizona state regulations
- Exceptional analytical and problem-solving skills
- Excellent written and verbal communication abilities
- Proficiency with compliance software and MS Office Suite
- Ability to work independently and manage competing priorities