Job Description
Join our dynamic team in Phoenix as a Compliance Officer and drive regulatory excellence in the financial services sector. This immediate hire opportunity offers a competitive salary package and the chance to shape compliance strategies in a fast-paced environment. We're seeking a detail-oriented professional to ensure adherence to federal regulations, mitigate risks, and foster a culture of compliance. If you're passionate about safeguarding organizational integrity and have a proven track record in regulatory affairs, apply today to make an immediate impact!
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, OCC) to update compliance policies
- Conduct internal audits and risk assessments across all business units
- Develop and deliver compliance training programs to staff at all levels
- Investigate and resolve compliance violations with corrective action plans
- Prepare regulatory reports and disclosures for state/federal authorities
- Collaborate with legal and audit teams to ensure alignment with industry standards
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Active FINRA Series 7, 63, and 24 licenses required
- Proficiency with compliance management software (e.g., OnBase, NICE Actimize)
- Strong analytical skills with attention to regulatory nuances
- Excellent written communication for policy documentation and reporting
- Ability to manage competing priorities under tight deadlines