Job Description
Join our dynamic compliance team and start your career tomorrow! Mountain View Financial Services is seeking a detail-oriented Compliance Officer to ensure regulatory adherence and operational integrity in our rapidly growing Colorado Springs office. This urgent opening offers immediate start for qualified candidates ready to make an impact. Enjoy competitive compensation, comprehensive benefits, and a supportive work environment where your expertise drives organizational success.
Responsibilities
- Monitor and enforce compliance with federal/state regulations (FINRA, SEC, etc.)
- Develop/implement compliance policies and risk mitigation strategies
- Conduct internal audits and regulatory examinations
- Train staff on compliance protocols and regulatory changes
- Prepare detailed compliance reports for leadership
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and operations teams on regulatory matters
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/regulatory experience in finance
- Strong knowledge of financial regulations (FINRA, SEC, AML)
- Certified Compliance & Ethics Professional (CCEP) preferred
- Exceptional analytical and problem-solving skills
- Proficient in compliance management software
- Ability to communicate complex concepts clearly