Job Description
Join our dynamic compliance team at Aegis Financial Solutions, where integrity meets innovation. We're seeking a meticulous Compliance Officer to safeguard our operations while driving ethical growth in Glendale's thriving financial sector. Enjoy competitive benefits, flexible work arrangements, and opportunities for professional advancement in a culture that values transparency and excellence.
Responsibilities
- Monitor regulatory changes and implement updated compliance protocols across all business units
- Conduct thorough risk assessments and internal audits to ensure adherence to FINRA, SEC, and state regulations
- Develop comprehensive compliance training programs for staff across 15+ departments
- Investigate potential violations and prepare detailed reports for senior leadership
- Liaise with legal counsel and regulatory bodies during examinations and inquiries
- Maintain meticulous documentation for audit trails and compliance records
Qualifications
- Bachelor's degree in Finance, Business Administration, or related field (MBA or JD preferred)
- 3+ years of compliance experience in financial services or fintech
- Active FINRA Series 63/65/66 or equivalent regulatory certification
- Advanced proficiency in compliance software (e.g., ComplianceEase, OnBase)
- Expert knowledge of AZ state and federal financial regulations
- Exceptional analytical skills with attention to detail
- Strong written/verbal communication abilities for stakeholder presentations