Job Description
Join our award-winning financial services firm as a Compliance Officer in Denver. We're seeking a detail-oriented professional to ensure regulatory adherence while driving ethical business practices. This hybrid role offers competitive compensation, comprehensive benefits, and growth opportunities in one of America's most vibrant cities. Work alongside industry experts to shape our compliance framework and protect our clients' interests.
Responsibilities
- Develop and implement robust compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Provide regulatory guidance to business units on policy interpretation
- Manage regulatory reporting and documentation requirements
- Lead compliance training initiatives for 200+ employees
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and audit teams on cross-functional initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years compliance experience in financial services
- FINRA Series 7, 24, or 27 certifications required
- Expert knowledge of federal/state banking regulations
- Advanced proficiency in compliance software (e.g., MetricStream, OneTrust)
- Strong analytical and problem-solving abilities
- CRCM or CCEP certification preferred