Job Description
Join our dynamic compliance team in Scottsdale, AZ, and play a pivotal role in safeguarding our organization's integrity. As a Compliance Officer, you'll ensure adherence to federal regulations (FINRA, SEC, AML) while shaping a culture of ethical excellence. Enjoy a collaborative environment with competitive benefits and professional growth opportunities in one of Arizona's most vibrant business hubs.
Responsibilities
- Develop, implement, and monitor compliance programs across all business units
- Conduct regular risk assessments and internal audits to identify regulatory gaps
- Investigate potential violations and recommend corrective actions
- Stay current on regulatory changes (e.g., Dodd-Frank, ACA) and update policies accordingly
- Train staff on compliance protocols and ethical standards
- Prepare detailed reports for senior leadership and regulatory bodies
- Collaborate with legal, finance, and operations teams to ensure alignment
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Certifications (CRCM, CAMS, or CCEP) highly desirable
- Expert knowledge of FINRA/SEC regulations and AML procedures
- Strong analytical skills with attention to detail
- Excellent written/verbal communication and presentation abilities
- Proficiency in compliance software (e.g., Actimize, NICE Actimize)
- Ability to thrive in a fast-paced, deadline-driven environment