Job Description
Join our award-winning compliance team in Scottsdale! We're seeking a meticulous Compliance Officer to ensure regulatory adherence across financial operations. Equipment provided includes ergonomic workstations, dual monitors, and secure document scanners. Enjoy hybrid work options with our state-of-the-art Scottsdale headquarters featuring on-site gym and wellness facilities.
As a key member of our governance division, you'll develop compliance frameworks, conduct risk assessments, and liaise with regulatory bodies. We offer comprehensive benefits including 401(k) matching, professional development stipends, and quarterly team outings to Sedona.
Responsibilities
- Design and implement compliance policies aligned with FINRA, SEC, and state regulations
- Conduct internal audits and risk assessments for financial service products
- Investigate potential violations and prepare detailed regulatory reports
- Train staff on compliance protocols and regulatory updates
- Collaborate with legal counsel on regulatory changes and enforcement actions
- Maintain accurate compliance documentation in secure digital systems
- Represent the company in regulatory examinations and inquiries
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 3+ years compliance experience in financial services or fintech
- Certified Compliance & Ethics Professional (CCEP) designation required
- Advanced knowledge of AML, KYC, and anti-fraud regulations
- Proficiency in compliance software (e.g., MetricStream, Wolters Kluwer)
- Exceptional analytical and report-writing abilities
- Strong attention to detail with zero-error tolerance for documentation