Job Description
Join our dynamic compliance team in Scottsdale, AZ as a Compliance Officer where you'll safeguard our organization against regulatory risks while driving ethical business practices. We offer a collaborative environment, competitive benefits, and opportunities for professional growth. Why join us? We're a rapidly growing financial services firm committed to integrity and innovation.
What we offer: Comprehensive health insurance, 401(k) matching, flexible work arrangements, and annual professional development stipend. Enjoy Scottsdale's vibrant culture while making a tangible impact on regulatory compliance excellence.
Responsibilities
- Monitor and interpret federal/state regulations (FINRA, SEC, OCC) to ensure organizational compliance
- Develop/implement compliance policies, procedures, and control frameworks
- Conduct internal audits and risk assessments across business units
- Investigate and resolve compliance violations with corrective action plans
- Prepare regulatory reports and disclosures for submission to authorities
- Train staff on compliance protocols and ethical standards
- Collaborate with legal, risk, and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services or regulated industry
- Active CCO (Certified Compliance Officer) or CAMS certification
- Deep knowledge of FINRA rules, SEC regulations, and AML/BSA requirements
- Exceptional analytical skills with attention to detail
- Strong written/verbal communication and presentation abilities
- Experience with compliance management software (e.g., MetricStream, RSA Archer)
- Ability to thrive in fast-paced, deadline-driven environments