Job Description
Join our dynamic compliance team at Chandler Financial Services and make an immediate impact! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence and foster a culture of integrity across all operations. This is your chance to start your career tomorrow in Chandler, AZ's thriving financial sector. Enjoy competitive benefits, professional growth opportunities, and the satisfaction of protecting our clients and organization.
Responsibilities
- Monitor regulatory changes and implement updated compliance protocols across all departments
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and maintain comprehensive compliance documentation and training materials
- Collaborate with legal and executive teams to ensure adherence to FINRA, SEC, and state regulations
- Investigate and resolve compliance violations with corrective action plans
- Prepare detailed compliance reports for senior leadership and regulatory bodies
- Lead cross-functional compliance initiatives and employee training programs
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services or regulated industry
- Strong knowledge of FINRA, SEC, and Arizona state regulations
- Proficient in compliance software and data analysis tools
- Excellent written/verbal communication and presentation skills
- Certified Regulatory Compliance Manager (CRCM) designation preferred
- Ability to work independently with minimal supervision in fast-paced environment