Job Description
Join our award-winning compliance team in sunny Scottsdale! Regulatory Solutions Group is seeking a meticulous Compliance Officer to ensure our financial operations adhere to federal regulations and industry standards. This hybrid role combines strategic oversight with hands-on implementation of compliance frameworks. Enjoy competitive compensation, comprehensive benefits, and career advancement opportunities in one of America's most vibrant tech hubs.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits for financial products and services
- Prepare regulatory filings and maintain compliance documentation
- Train staff on compliance protocols and regulatory updates
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and executive teams on regulatory strategy
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- FINRA Series 24 or 27 license required
- Advanced knowledge of AML, KYC, and Dodd-Frank regulations
- Proficient in compliance management software (e.g., ComplySci, Thomson Reuters)
- Strong analytical skills with attention to detail
- Excellent written and verbal communication abilities