Job Description
Join our dynamic team in Mesa, AZ as a Compliance Officer and become a guardian of regulatory excellence. In this pivotal role, you'll ensure our organization operates with integrity while navigating complex financial regulations. We offer a collaborative environment where your expertise in risk management directly impacts our clients' success and our company's growth. Enjoy competitive benefits, professional development opportunities, and the chance to work with industry leaders in a thriving Arizona community.
Responsibilities
- Monitor and interpret federal, state, and local regulatory requirements (e.g., FINRA, SEC, AML)
- Develop, implement, and maintain compliance policies and procedures
- Conduct regular risk assessments and internal audits
- Train staff on compliance protocols and regulatory updates
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for senior management and regulators
- Liaise with legal counsel and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance/regulatory experience in financial services
- Strong knowledge of FINRA/SEC regulations and AML procedures
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving skills
- Excellent written and verbal communication abilities
- Proficiency in compliance management software (e.g., MetricStream, RSA Archer)