Job Description
Join our dynamic team at Desert Financial Solutions as a Compliance Officer and become a guardian of regulatory excellence in Arizona's thriving financial sector. We're seeking a detail-oriented professional to ensure adherence to federal and state regulations while driving ethical business practices. Enjoy a collaborative environment with competitive benefits, professional development opportunities, and the chance to make a tangible impact in Tucson's growing economy. Our commitment to work-life balance includes flexible scheduling and comprehensive health benefits.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and Arizona state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Investigate regulatory violations and recommend corrective actions
- Prepare and submit regulatory reports to state and federal authorities
- Train staff on compliance policies and regulatory updates
- Stay current on industry regulations through continuous research
- Collaborate with legal and executive teams on compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- FINRA Series 63 and/or Series 24 certification required
- Strong knowledge of federal and Arizona state regulations
- Excellent analytical and problem-solving abilities
- Proficient in compliance software and Microsoft Office Suite
- Exceptional written and verbal communication skills
- Ability to manage multiple projects with competing deadlines