Job Description
Join our dynamic compliance team at Mountain State Financial Services and become a guardian of regulatory excellence in Denver's thriving financial sector. We're seeking a meticulous Compliance Officer to navigate complex regulatory landscapes and ensure our organization maintains impeccable adherence to federal and state regulations. This role offers the opportunity to shape compliance strategies while working alongside industry leaders in a supportive, growth-oriented environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and Colorado state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Prepare detailed regulatory reports and disclosures for executive leadership
- Train staff on compliance policies and regulatory updates
- Collaborate with legal and business units to ensure regulatory adherence
- Investigate potential compliance violations and recommend corrective actions
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or equivalent preferred
- Deep knowledge of FINRA rules, SEC regulations, and Colorado financial laws
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills
- Experience with compliance management software