Job Description
Join Mountain Peak Financial Services as a Remote-Friendly Compliance Officer and become a guardian of regulatory excellence in the heart of Colorado's financial hub. We're seeking a meticulous professional to safeguard our operations while enjoying the flexibility of remote work. Our culture values integrity, innovation, and work-life balance, offering competitive benefits and career growth opportunities. As a key member of our risk management team, you'll ensure adherence to federal regulations (FINRA, SEC, CFPB) while contributing to a dynamic, mission-driven environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct thorough risk assessments and internal audits to identify compliance gaps
- Prepare comprehensive compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory updates and ethical business practices
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and finance teams on policy development
- Stay current on regulatory changes affecting financial services industry
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services or regulated industry
- FINRA Series 7, 63, and 24 certifications strongly preferred
- Expert knowledge of SEC, FINRA, and Colorado state regulations
- Advanced proficiency in compliance management software (e.g., Diligent, OneTrust)
- Exceptional analytical and problem-solving abilities
- Proven track record in developing risk mitigation strategies
- Strong written/verbal communication skills with regulatory reporting experience