Job Description
Join Compliance Solutions Group as a Compliance Officer in Tucson, AZ, and become a guardian of ethical business practices. We're seeking a dedicated professional to ensure our organization adheres to federal regulations, industry standards, and internal policies. This role offers the opportunity to work in a dynamic environment where your expertise directly impacts organizational integrity and risk mitigation. Enjoy competitive benefits, professional development opportunities, and a collaborative team culture in the heart of Tucson.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and AML regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on compliance policies, procedures, and regulatory updates
- Investigate potential violations and recommend corrective actions
- Stay current on evolving compliance legislation and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industries
- FINRA Series 63, 65, or 26 license required
- Strong knowledge of federal and state compliance regulations
- Exceptional analytical and problem-solving abilities
- Proficient in compliance management software and data analysis tools
- Excellent written and verbal communication skills