Job Description
Join our award-winning team as a Compliance Officer and become a guardian of ethical excellence in Denver's thriving financial sector. We're seeking a detail-oriented professional to navigate complex regulatory landscapes while driving innovation in compliance frameworks. Enjoy competitive benefits, hybrid work flexibility, and opportunities for professional growth in a collaborative environment.
Responsibilities
- Develop and implement robust compliance programs aligned with federal/state regulations (SEC, FINRA, CFPB)
- Conduct risk assessments and internal audits to ensure policy adherence
- Monitor regulatory changes and update procedures accordingly
- Train staff on compliance protocols and ethical standards
- Investigate and resolve compliance violations with corrective action plans
- Prepare detailed reports for senior management and regulatory bodies
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and Colorado state laws
- Certified Compliance & Ethics Professional (CCEP) preferred
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., ComplySci, LogicGate)
- Ability to communicate complex concepts to diverse stakeholders
- Proven track record in developing compliance training programs