Job Description
Join our dynamic team as a Compliance Officer with flexible scheduling options! Scottsdale Financial Group is seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. Enjoy the perfect work-life balance with customizable hours while making a meaningful impact on our compliance framework.
Responsibilities
- Monitor regulatory changes and implement updated compliance procedures
- Conduct internal audits and risk assessments across business units
- Develop and maintain compliance documentation and training materials
- Collaborate with legal and executive teams on compliance strategies
- Investigate and resolve compliance violations with corrective actions
- Manage regulatory reporting requirements and submissions
- Advise staff on compliance policies and ethical standards
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/regulatory experience in financial services
- Strong knowledge of FINRA, SEC, and state regulations
- Excellent analytical and problem-solving skills
- Proficient in compliance software (e.g., ComplyXL, Compliance.ai)
- Ability to work independently with minimal supervision
- Strong written and verbal communication skills
- Relevant certifications (CRCM, CAMS) preferred