Job Description
Join our award-winning compliance team in Scottsdale, AZ! Global Compliance Solutions Inc. is seeking a dedicated Compliance Officer to safeguard our organization's integrity and regulatory adherence. This pivotal role combines strategic oversight with hands-on implementation of compliance frameworks across all departments.
As a Compliance Officer, you'll drive ethical practices through policy development, risk assessments, and proactive monitoring. Our Scottsdale headquarters offers a collaborative environment where your expertise in regulatory affairs will directly impact our commitment to excellence. Enjoy competitive benefits, professional development opportunities, and the chance to work with industry leaders.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with federal regulations (Dodd-Frank, AML) and industry standards
- Conduct internal audits and investigations to ensure adherence to policies and procedures
- Monitor regulatory changes and update compliance frameworks accordingly
- Deliver targeted compliance training to all employee levels
- Prepare detailed reports for executive leadership and regulatory bodies
- Collaborate with legal and finance departments to address compliance gaps
- Manage vendor compliance assessments and third-party risk
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Strong knowledge of FINRA, SEC, and state regulations
- Professional certification (CCEP, CRCM, CAMS) required
- Advanced analytical skills with attention to detail
- Exceptional written/verbal communication abilities
- Proficient in compliance management software (e.g., MetricStream, RSA Archer)