Job Description
Join our dynamic compliance team in Scottsdale, AZ as a Compliance Officer! We provide all necessary equipment including laptop, dual monitors, and specialized compliance software. Enjoy a modern, collaborative workspace while ensuring regulatory excellence. What you'll love: Competitive salary, comprehensive benefits, and career advancement opportunities in a growing industry leader.
Responsibilities
- Develop and implement compliance policies aligned with federal/state regulations
- Conduct internal audits and risk assessments for financial operations
- Train staff on compliance protocols and regulatory updates
- Monitor industry changes and advise on mitigation strategies
- Prepare detailed compliance reports for executive leadership
- Collaborate with legal and finance teams on regulatory matters
- Manage compliance documentation and record retention systems
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance/regulatory experience in financial services
- Strong knowledge of FINRA, SEC, and Arizona state regulations
- Advanced proficiency in compliance software (e.g., Certify, ComplianceEase)
- Certification (CRCM, CAMS, or CCEP) highly desirable
- Exceptional analytical and problem-solving abilities
- Excellent written/verbal communication skills