Job Description
Join our dynamic team as an Immediate Hire Compliance Officer in Phoenix, AZ! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. Enjoy competitive compensation, comprehensive benefits, and the opportunity to make an immediate impact.
Responsibilities
- Monitor and interpret federal/state regulations (FINRA, SEC, AML) to maintain compliance
- Conduct internal audits and risk assessments across all departments
- Develop/update compliance policies and procedures documentation
- Train staff on regulatory requirements and ethical standards
- Investigate and resolve compliance violations with corrective actions
- Collaborate with legal team on regulatory changes and enforcement matters
- Prepare detailed compliance reports for executive leadership
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and AML protocols
- Professional certifications (CRCM, CAMS, or CCEP) preferred
- Exceptional analytical and problem-solving abilities
- Proficiency in compliance software (e.g., OnBase, ComplySci)
- Excellent written/verbal communication skills
- Ability to prioritize tasks in high-pressure environments