Job Description
Join our dynamic compliance team at Desert Financial Group, where integrity meets innovation. We're seeking a meticulous Compliance Officer to safeguard our operations in Tucson's thriving financial landscape. This pivotal role ensures adherence to federal regulations (FINRA, SEC, AML) while fostering a culture of ethical excellence. Enjoy competitive benefits, professional development opportunities, and a collaborative environment dedicated to regulatory mastery.
Responsibilities
- Monitor and interpret regulatory changes affecting financial services
- Develop and implement compliance policies and procedures
- Conduct internal audits and risk assessments
- Train staff on compliance protocols and regulatory updates
- Investigate and resolve compliance violations
- Prepare regulatory reports for state and federal agencies
- Collaborate with legal and audit departments
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- FINRA Series 63/65/66 licenses (or ability to obtain)
- Strong knowledge of AML/BSA regulations
- Exceptional analytical and documentation skills
- Experience with compliance management software
- Ability to thrive in fast-paced regulatory environments