Job Description
We are urgently looking for a skilled Compliance Officer to join our growing team in Denver. In this pivotal role, you will ensure our organization adheres to all applicable laws, regulations, and internal policies, protecting the company from financial and legal risks. You will act as a guardian of our integrity, ensuring that our operations remain transparent and ethical.
If you have a keen eye for detail and a passion for regulatory excellence, we want to hear from you.
Responsibilities
- Monitor and interpret complex regulatory changes to ensure organizational adherence.
- Conduct regular internal audits and risk assessments to identify potential vulnerabilities.
- Investigate and resolve compliance violations and internal policy breaches.
- Prepare comprehensive reports for senior management and regulatory bodies.
- Develop and deliver training programs to educate staff on compliance standards.
- Collaborate with legal and operations teams to implement necessary controls.
- Maintain up-to-date knowledge of industry-specific laws and best practices.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field.
- Minimum of 3-5 years of experience in a compliance, risk management, or audit role.
- Deep understanding of SEC regulations, FINRA rules, or state-specific compliance laws.
- Strong analytical skills with the ability to interpret complex data.
- Excellent verbal and written communication skills.
- CFE or CCE certification is a plus.
- Ability to work independently and manage multiple priorities.