Job Description
Join our dynamic team as a Compliance Officer and start your career tomorrow! Mountain State Financial Group is seeking a detail-oriented professional to ensure regulatory adherence and ethical standards across our financial operations. This role offers immediate start date, competitive benefits, and growth opportunities in Colorado's thriving finance sector. Perfect for candidates with a passion for precision and regulatory excellence.
Responsibilities
- Monitor federal, state, and local regulatory changes affecting financial services
- Develop and implement compliance policies and procedures
- Conduct internal audits and risk assessments
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain documentation
- Collaborate with legal and audit departments
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/regulatory experience
- Knowledge of FINRA, SEC, and banking regulations
- Strong analytical and problem-solving skills
- Excellent written and verbal communication
- Proficiency in compliance software (e.g., ComplySci
- Professional certification (CRCM, CAMS) preferred