Job Description
Join our dynamic team as a Compliance Officer in Scottsdale, AZ where your expertise will drive regulatory excellence. We offer weekly pay, competitive benefits, and a culture that values integrity and innovation. As a key member of our risk management division, you'll safeguard our organization against compliance breaches while shaping industry best practices. This hybrid role combines strategic oversight with hands-on implementation, perfect for detail-oriented professionals seeking impact and stability.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, state laws) to ensure organizational alignment
- Develop, implement, and audit compliance policies and procedures across all departments
- Conduct risk assessments and internal investigations to identify vulnerabilities
- Train staff on compliance protocols and regulatory requirements
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Collaborate with legal and audit teams to remediate compliance gaps
- Stay current with industry trends through continuous professional development
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance/regulatory experience in financial services
- FINRA Series 63/65/66 or equivalent regulatory certification
- Strong knowledge of AML, KYC, and anti-fraud frameworks
- Exceptional analytical and problem-solving abilities
- Proficient in compliance software (e.g., OnBase, Compliance 360)
- Excellent written/verbal communication skills