Job Description
Join Mountain Peak Financial Services as a Compliance Officer in beautiful Colorado Springs! We're seeking a detail-oriented professional to ensure regulatory adherence while enjoying our industry-leading flexible scheduling options. Work from home 2 days/week, set your core hours (8am-6pm), and maintain work-life balance without compromising on impact. Our collaborative team values innovation and integrity, offering comprehensive benefits including health insurance, retirement plans, and professional development stipends.
Responsibilities
- Monitor regulatory changes (FINRA, SEC, CFPB) and implement compliance protocols
- Conduct internal audits and risk assessments across financial operations
- Develop compliance training materials and deliver quarterly staff workshops
- Investigate potential violations and prepare regulatory reporting documentation
- Collaborate with legal and executive teams on compliance strategy
- Maintain compliance databases and generate executive dashboards
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- CFP or CAMS certification preferred
- Strong knowledge of federal/state financial regulations
- Exceptional analytical and documentation skills
- Experience with compliance software (e.g., ComplySci, Adenza)
- Ability to work independently with flexible schedules