Job Description
We're urgently seeking a detail-oriented Compliance Officer to join our dynamic team in Phoenix, AZ. As a key guardian of regulatory integrity, you'll ensure our financial operations adhere to federal, state, and industry standards. This high-impact role offers competitive compensation, comprehensive benefits, and rapid career growth in a thriving metropolitan hub.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, OCC) to implement compliance protocols
- Conduct internal audits and risk assessments for financial products and services
- Develop and maintain compliance documentation, policies, and training programs
- Collaborate with legal, operations, and audit teams to resolve compliance gaps
- Manage investigations of potential violations and prepare regulatory reports
- Stay current on AML, KYC, and anti-fraud regulations across financial sectors
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services or regulated industry
- FINRA Series 63/65/66 or equivalent certification required
- Proficiency in compliance software (e.g., ComplianceEase, NICE Actimize)
- Strong analytical skills with attention to regulatory nuances
- Excellent written/verbal communication for reporting and training
- PHX metro candidates with AZ regulatory experience preferred