Job Description
Join our dynamic compliance team at Desert Star Financial, where your expertise safeguards our operations while earning weekly pay! As a Compliance Officer, you'll ensure adherence to federal regulations (FINRA, SEC, AML) and internal policies in a fast-paced financial environment. We offer competitive compensation, comprehensive benefits, and a supportive culture that values professional growth. Apply today and start making an immediate impact with bi-weekly paychecks!
Responsibilities
- Monitor regulatory changes and update compliance policies/procedures
- Conduct internal audits and risk assessments across all departments
- Investigate potential violations and recommend corrective actions
- Train staff on compliance protocols and regulatory requirements
- Prepare detailed reports for senior management and regulatory bodies
- Collaborate with legal counsel on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- FINRA Series 63/65/66 licenses preferred
- Strong knowledge of AML, BSA, and SEC regulations
- Exceptional analytical and problem-solving skills
- Proficient in compliance software (e.g., ComplyAdvantage, Unit21)