Job Description
Join our dynamic compliance team at Mountain View Financial Services, where integrity meets innovation. As a Compliance Officer, you'll be the guardian of our regulatory framework, ensuring adherence to federal and state regulations while fostering a culture of ethical excellence. We offer competitive compensation, comprehensive benefits, and opportunities for professional growth in Colorado's thriving financial hub.
Responsibilities
- Monitor and interpret evolving regulatory requirements (FINRA, SEC, CFPB, Colorado state laws)
- Develop, implement, and maintain compliance policies and procedures
- Conduct internal audits and risk assessments across all business units
- Investigate potential compliance violations and recommend corrective actions
- Train staff on compliance protocols and regulatory updates
- Collaborate with legal and executive teams on compliance strategy
- Prepare detailed compliance reports for regulatory agencies
Qualifications
- Bachelor's degree in Finance, Business, or related field (advanced degree preferred)
- 5+ years compliance experience in financial services
- FINRA Series 7, 24, or 63/65 licenses required
- Expert knowledge of federal and state financial regulations
- Strong analytical and problem-solving abilities
- Exceptional written and verbal communication skills
- Proficiency with compliance software and data analysis tools