Job Description
Join our dynamic team as a Compliance Officer and become a guardian of regulatory excellence. This critical role ensures adherence to federal, state, and industry regulations while fostering a culture of integrity. You'll collaborate with cross-functional teams to implement robust compliance frameworks, conduct risk assessments, and drive continuous improvement in our operational processes. If you're passionate about ethical business practices and possess meticulous attention to detail, this is your opportunity to make an immediate impact in Chandler's thriving business ecosystem.
Responsibilities
- Develop, implement, and maintain comprehensive compliance programs aligned with industry regulations
- Conduct regular internal audits and risk assessments to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on compliance policies and procedures
- Stay updated on regulatory changes and implement necessary adjustments
- Collaborate with legal department to ensure adherence to all applicable laws
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance or regulatory experience in financial services
- Certified Compliance & Ethics Professional (CCEP) preferred
- Strong knowledge of FINRA, SEC, and state regulations
- Exceptional analytical and problem-solving abilities
- Proficiency in compliance software and MS Office Suite
- Excellent written and verbal communication skills