Job Description
Join Mountain Ridge Financial Services as a Compliance Officer and become a guardian of regulatory excellence in Colorado's thriving financial sector. We're seeking a detail-oriented professional to ensure adherence to federal, state, and industry regulations while fostering a culture of integrity. This role offers competitive compensation, comprehensive benefits, and the opportunity to impact our growing organization's compliance framework.
Responsibilities
- Monitor and interpret regulatory changes affecting financial operations
- Develop, implement, and maintain compliance policies and procedures
- Conduct internal audits and risk assessments across business units
- Train employees on compliance requirements and ethical standards
- Investigate and resolve compliance violations and incidents
- Prepare regulatory filings and management reports
- Collaborate with legal and audit teams on compliance initiatives
- Ensure adherence to FINRA, SEC, and state banking regulations
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of banking regulations and FINRA rules
- Excellent analytical and problem-solving abilities
- Certified Compliance & Ethics Professional (CCEP) preferred
- Advanced proficiency in MS Office and compliance software
- Exceptional written and verbal communication skills
- Ability to thrive in a fast-paced regulatory environment