Job Description
Join our dynamic team at Desert Financial Partners as a Compliance Officer and become a guardian of ethical excellence in Phoenix's thriving financial sector. We're seeking a meticulous professional to navigate complex regulatory landscapes, ensuring our institution maintains the highest standards of integrity while driving sustainable growth. This pivotal role offers the opportunity to shape our compliance framework, mentor cross-functional teams, and make a tangible impact in safeguarding our organization's reputation and client trust.
Responsibilities
- Monitor and interpret federal, state, and local regulatory changes (SEC, FINRA, AML, etc.) to update compliance policies
- Conduct risk assessments and internal audits across banking operations, lending, and investment services
- Develop and deliver targeted compliance training programs for 200+ employees
- Investigate potential violations and coordinate corrective actions with department heads
- Prepare comprehensive reports for executive leadership and regulatory bodies
- Leverage RegTech tools to automate compliance monitoring and reporting processes
Qualifications
- Bachelor's degree in Finance, Law, or related field; JD/CAMS/CCEP certifications preferred
- 5+ years compliance experience in financial services with 3+ years in leadership roles
- Expertise in Arizona state banking regulations and federal oversight frameworks
- Advanced proficiency in compliance software (e.g., MetricStream, Wolters Kluwer)
- Exceptional analytical skills with experience designing control matrices
- Proven ability to translate complex regulations into actionable policies
- Strong stakeholder management skills across executive, legal, and operational teams