Job Description
Join Mountain View Financial Services as our next Compliance Officer and become a guardian of ethical excellence in the heart of Colorado Springs. We're seeking a meticulous professional to safeguard our operations against regulatory risks while fostering a culture of compliance. Enjoy competitive compensation, comprehensive benefits, and the opportunity to impact financial integrity in a thriving mountain community.
Responsibilities
- Monitor regulatory developments (FINRA, SEC, OCC) and implement compliance policies
- Conduct internal audits and risk assessments across banking operations
- Develop training programs for staff on AML, KYC, and anti-fraud protocols
- Investigate potential violations and recommend corrective actions
- Collaborate with legal team to ensure adherence to federal/state regulations
- Prepare compliance reports for executive leadership and regulatory bodies
- Lead BSA/AML program execution and suspicious activity reporting
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- FINRA Series 26, 27, or 99 licenses required
- Advanced knowledge of BSA/AML regulations
- Strong analytical skills with attention to detail
- Experience with compliance management software (e.g., ComplyAdvantage)
- Excellent written/verbal communication skills
- Certified Regulatory Compliance Manager (CRCM) preferred