Job Description
Join our dynamic compliance team in Tucson, AZ, and become a guardian of ethical business practices. As a Compliance Officer, you'll ensure our operations align with federal regulations, industry standards, and internal policies. This pivotal role requires meticulous attention to detail and proactive risk mitigation strategies. Enjoy a collaborative environment where your expertise directly shapes organizational integrity and regulatory excellence.
Responsibilities
- Monitor regulatory changes (e.g., FINRA, SEC, AML) and implement compliance protocols
- Conduct internal audits and risk assessments across departments
- Develop and maintain compliance policies, procedures, and training programs
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and executive teams on compliance initiatives
- Prepare comprehensive reports for stakeholders and regulatory bodies
- Lead cross-functional compliance committees and training sessions
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance/regulatory experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Strong knowledge of federal/state regulations (e.g., BSA, AML, ACA)
- Exceptional analytical and risk assessment abilities
- Advanced proficiency in compliance software (e.g., Fenergo, MetricStream)
- Excellent written/verbal communication and presentation skills