Job Description
Join our dynamic compliance team in Scottsdale, AZ! We're seeking a meticulous Compliance Officer to ensure regulatory adherence across financial operations. This full-time role includes premium equipment provision – laptops, ergonomic workstations, and specialized compliance software – to maximize your efficiency. Collaborate with legal, finance, and operations teams to implement robust compliance frameworks while maintaining a culture of integrity and excellence.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare comprehensive compliance reports for executive stakeholders and regulatory bodies
- Train staff on regulatory updates and compliance protocols
- Manage vendor compliance assessments and due diligence processes
- Stay current on industry regulations through continuous professional development
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or FINRA Series 7/24/63 licenses
- Expertise in regulatory reporting and risk management frameworks
- Proficient in compliance software (e.g., Actimize, NASD Compliance)
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills