Job Description
Join our dynamic compliance team at Phoenix Financial Group and play a pivotal role in safeguarding our organization's integrity. We're urgently seeking a detail-oriented Compliance Officer to ensure adherence to federal regulations, internal policies, and industry standards. This is a high-impact opportunity to shape our compliance framework while enjoying competitive compensation and comprehensive benefits in Phoenix's thriving financial district.
Responsibilities
- Monitor and interpret regulatory changes (e.g., FINRA, SEC, AML) to ensure organizational compliance
- Conduct risk assessments and internal audits across departments
- Develop and implement compliance policies, procedures, and training programs
- Investigate potential violations and recommend corrective actions
- Collaborate with legal, operations, and audit teams to resolve compliance issues
- Prepare detailed compliance reports for senior leadership and regulatory bodies
- Stay current with industry trends through continuous professional development
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Relevant certifications (e.g., CAMS, CRCM, CCEP) strongly preferred
- Deep knowledge of federal and state regulations (AZ specific a plus)
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication and presentation skills
- Proficiency in compliance software (e.g., RSA Archer, OnBase)
- Ability to thrive in fast-paced, deadline-driven environments