Job Description
Join our dynamic team as an immediate-hire Compliance Officer at Phoenix Financial Group. We're seeking a detail-oriented professional to ensure our operations adhere to federal, state, and industry regulations. This critical role safeguards our organization's integrity while supporting sustainable growth in Phoenix's thriving financial sector.
Responsibilities
- Monitor regulatory changes and implement compliance policies across all business units
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed compliance reports for executive stakeholders and regulatory bodies
- Train employees on regulatory requirements and ethical standards
- Manage compliance documentation and maintain audit trails
- Collaborate with legal and finance departments on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance/regulatory experience in financial services
- Strong knowledge of FINRA, SEC, and Arizona state regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving abilities
- Proficient in compliance management software
- Excellent written and verbal communication skills