Job Description
Join our award-winning financial services firm as a Compliance Officer in Denver's thriving business district. We're seeking a meticulous professional to safeguard our regulatory integrity while driving ethical growth in a collaborative, forward-thinking environment. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional development in one of America's most dynamic cities.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with federal/state regulations (FINRA, SEC, CFTC)
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare regulatory reports and disclosures for executive/board review
- Train staff on compliance policies and emerging regulatory changes
- Collaborate with legal, risk, and operations teams on compliance initiatives
- Investigate and resolve compliance violations with corrective action plans
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's/JD preferred)
- 5+ years compliance experience in financial services or regulated industry
- FINRA Series 7, 24, or 63 certifications required
- Expert knowledge of AML, BSA, and SEC regulations
- Strong analytical skills with attention to detail
- Excellent written/verbal communication abilities
- Proficiency in compliance software (e.g., Compliance.ai, Adenza)