Job Description
Join our award-winning compliance team at Southwest Financial Services and become a guardian of ethical excellence in the financial industry. We're seeking a detail-oriented Compliance Officer to develop and implement robust compliance frameworks ensuring adherence to federal regulations (FinCEN, SEC) and Arizona state laws. This hybrid role offers competitive benefits, career advancement opportunities, and the chance to make tangible impact in a growing financial hub.
Responsibilities
- Design, implement, and maintain compliance programs aligned with industry regulations
- Conduct regular risk assessments and internal audits across financial operations
- Develop comprehensive training materials for staff on regulatory updates
- Investigate potential compliance violations and recommend corrective actions
- Collaborate with legal team on regulatory filings and reporting requirements
- Monitor legislative changes and update policies accordingly
- Lead compliance investigations and maintain detailed documentation
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field required
- 3+ years of compliance experience in financial services or regulated industry
- Strong knowledge of federal/state financial regulations (AML, BSA, SEC rules)
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification preferred
- Exceptional analytical skills with attention to detail
- Proven ability to interpret complex regulatory requirements
- Excellent written communication and documentation abilities
- Experience with compliance management software (e.g., Wolters Kluwer, MetricStream)