Job Description
Join our dynamic team as a Compliance Officer at Desert Financial Group, where integrity meets innovation. You'll be the guardian of our regulatory landscape, ensuring adherence to federal and state regulations while fostering a culture of compliance excellence. This pivotal role offers the opportunity to shape our compliance framework and make a tangible impact on our organization's success.
Responsibilities
- Develop, implement, and maintain compliance policies and procedures aligned with regulatory requirements
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Investigate and resolve compliance violations with corrective action plans
- Provide comprehensive compliance training to all staff members
- Stay updated on regulatory changes and advise leadership on implications
- Collaborate with legal and business units to ensure regulatory alignment
- Prepare detailed compliance reports for stakeholders and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and state regulations
- Proven ability to interpret complex regulatory requirements
- Excellent written and verbal communication skills
- Certified Regulatory Compliance Manager (CRCM) or similar designation
- Experience with compliance management software (e.g., MetricStream, Diligent)