Job Description
Join our award-winning compliance team in Scottsdale as a part-time Compliance Officer with flexible scheduling options! We're seeking a detail-oriented professional to ensure regulatory adherence while enjoying work-life balance. This hybrid role offers remote flexibility with 2-3 in-office days per week. You'll safeguard our organization's integrity while developing your expertise in financial regulations and risk management.
Responsibilities
- Monitor regulatory changes and implement compliance policies for financial services
- Conduct internal audits and risk assessments across departments
- Prepare detailed compliance reports for executive stakeholders
- Train staff on regulatory requirements and ethical standards
- Investigate potential violations and recommend corrective actions
- Collaborate with legal counsel on compliance frameworks
- Maintain documentation of compliance procedures and training
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance/regulatory experience
- Knowledge of FINRA, SEC, and Arizona state regulations
- Strong analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Proficiency in compliance software (e.g., ComplianceEase, LogicGate)
- Ability to work independently with minimal supervision
- CRCM or CAMS certification preferred