Job Description
Join our award-winning compliance team in Scottsdale, AZ! We're seeking a detail-driven Compliance Officer to fill an immediate opening. You'll safeguard our organization by ensuring adherence to federal regulations, developing risk mitigation strategies, and fostering an ethical culture. This is a rare opportunity to make an immediate impact in a dynamic fintech environment.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, AML) for compliance implications
- Conduct internal audits and risk assessments across departments
- Develop, implement, and update compliance policies/procedures
- Lead employee training programs on regulatory requirements
- Manage compliance documentation and reporting for regulatory bodies
- Collaborate with legal and executive teams on compliance initiatives
- Investigate and resolve compliance violations promptly
Qualifications
- Bachelor's degree in Finance, Business, or Law (Master's preferred)
- 3+ years compliance/regulatory experience in financial services
- Strong knowledge of FINRA/SEC regulations and AML procedures
- Experience with compliance software (e.g., OnBase, Smartsheet)
- Certified Regulatory Compliance Manager (CRCM) or equivalent
- Exceptional analytical and problem-solving abilities
- Excellent written/verbal communication skills