Job Description
Join our dynamic team in Phoenix as a Compliance Officer and become a guardian of regulatory excellence. At Global Financial Services, we're committed to maintaining the highest standards of integrity and compliance in the financial services industry. This pivotal role will empower you to shape our compliance framework while protecting our clients and stakeholders in Arizona's thriving economic landscape.
We offer a collaborative environment where your expertise directly impacts our organizational success. As a key member of our risk management division, you'll gain exposure to cutting-edge compliance technologies and industry best practices. Enjoy competitive benefits, professional development opportunities, and the chance to make a tangible difference in a rapidly evolving regulatory environment.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with federal (SEC, FINRA, CFPB), state, and local regulations
- Conduct thorough internal audits and risk assessments to identify compliance vulnerabilities
- Prepare detailed regulatory reports and maintain meticulous documentation for all compliance activities
- Provide expert guidance to business units on regulatory requirements and policy implementation
- Lead investigations of compliance violations and recommend corrective actions
- Stay current with emerging regulatory trends and update compliance protocols accordingly
- Collaborate with legal and audit teams to ensure cohesive risk management strategies
Qualifications
- Bachelor's degree in Finance, Business Administration, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Strong knowledge of SEC, FINRA, and Arizona state compliance regulations
- Professional certifications (CRCM, CAMS, or CCEP) highly valued
- Exceptional analytical skills with attention to detail and accuracy
- Proven ability to interpret complex regulatory requirements and implement practical solutions
- Excellent communication skills for training stakeholders and presenting findings
- Experience with compliance management software (e.g., MetricStream, RSA Archer)