Job Description
Join our dynamic compliance team at Scottsdale Financial Group, where we prioritize regulatory excellence and employee success. We provide all necessary equipment including ergonomic workstations, dual monitors, and specialized compliance software to ensure your success. Enjoy competitive benefits, professional development opportunities, and a collaborative environment dedicated to ethical financial practices.
Responsibilities
- Monitor regulatory changes and ensure adherence to federal/state compliance standards
- Develop and implement internal compliance policies and procedures
- Conduct risk assessments and compliance audits across all departments
- Train staff on regulatory requirements and ethical guidelines
- Investigate and resolve compliance violations with corrective action plans
- Prepare detailed compliance reports for senior leadership and regulatory bodies
- Collaborate with legal team to ensure regulatory alignment
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and AML regulations
- Certified Compliance & Ethics Professional (CCEP) designation required
- Advanced proficiency in compliance software (e.g., OnBase, Ad hoc)
- Exceptional analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Proven track record of implementing compliance programs