Job Description
Join our award-winning financial institution in downtown Phoenix as a Compliance Officer! We're seeking a detail-oriented professional to safeguard our operations against regulatory risks while fostering an ethical culture. This hybrid role offers competitive compensation, comprehensive benefits, and growth opportunities in Arizona's thriving financial sector.
Responsibilities
- Monitor and interpret federal/state regulations (FINRA, SEC, AML, etc.)
- Develop and implement compliance policies/procedures
- Conduct internal audits and risk assessments
- Train staff on compliance protocols
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain documentation
- Collaborate with legal and audit teams
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/regulatory experience in finance
- FINRA Series 24/26/27/99 certifications preferred
- Strong knowledge of AZ state/federal regulations
- Exceptional analytical and problem-solving skills
- Advanced proficiency in compliance software (e.g., Compliance.ai)
- Excellent written/verbal communication abilities