Job Description
Join our dynamic compliance team as a Compliance Officer in beautiful Colorado Springs, where work-life balance meets professional excellence. We offer fully flexible hours to accommodate your lifestyle while ensuring regulatory excellence across financial operations. This hybrid role combines remote work with in-office collaboration, allowing you to thrive in our supportive environment while safeguarding our organization's integrity.
As a key member of our risk management division, you'll develop and implement compliance frameworks, conduct risk assessments, and ensure adherence to federal and state regulations. Our commitment to employee growth includes ongoing training, competitive benefits, and a culture that values both expertise and well-being.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with FINRA, SEC, and Colorado state regulations
- Conduct regular internal audits and risk assessments to identify compliance gaps
- Provide guidance to stakeholders on regulatory requirements and best practices
- Investigate potential compliance violations and recommend corrective actions
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Stay current on evolving regulatory landscapes through continuous education
- Collaborate with legal and finance teams to ensure consistent policy implementation
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services or regulated industries
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Deep knowledge of federal and Colorado-specific financial regulations
- Exceptional analytical skills with attention to detail
- Strong written and verbal communication abilities
- Proven experience with compliance software and data analysis tools
- Ability to work independently while collaborating effectively in team settings