Job Description
Join Our Team: Flexible Compliance Officer Role in Scottsdale!
Seeking a detail-driven Compliance Officer to join our dynamic team in Scottsdale, AZ. This part-time position offers flexible scheduling (20-30 hours/week) while ensuring regulatory excellence. Ideal for professionals seeking work-life balance without compromising impact.
You'll safeguard our organization by developing compliance frameworks, conducting risk assessments, and maintaining regulatory adherence. If you're passionate about ethical standards and thrive in adaptable environments, this opportunity is tailored for you.
Responsibilities
- Design, implement, and monitor compliance programs aligned with federal/state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Develop/update policies/procedures ensuring adherence to FINRA, SEC, and AML requirements
- Train staff on compliance protocols and regulatory changes
- Investigate violations and recommend corrective actions
- Prepare comprehensive compliance reports for stakeholders
- Collaborate with legal/audit teams on regulatory matters
Qualifications
- Bachelor's degree in Business, Finance, or related field (Master's preferred)
- 3+ years compliance/regulatory experience in financial services
- Certifications (CRCM, CCEP, CAMS) highly valued
- Expertise in FINRA/SEC regulations and risk management frameworks
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication skills
- Proficiency in compliance software (e.g., RSA Archer, MetricStream)
- Ability to work independently with flexible scheduling