Job Description
Join our dynamic compliance team in sunny Tucson as a Compliance Officer! We provide all necessary equipment including ergonomic workstations, dual monitors, noise-canceling headphones, and company laptops. Enjoy a modern office environment with collaborative spaces and full benefits package. This role ensures adherence to federal regulations, internal policies, and industry standards while driving continuous improvement in compliance frameworks.
Responsibilities
- Monitor and enforce compliance with federal regulations (e.g., FINRA, SEC) and internal policies
- Conduct risk assessments and implement corrective action plans
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Develop and deliver compliance training programs to staff across departments
- Collaborate with legal and audit teams to ensure alignment with regulatory changes
- Manage compliance documentation and maintain audit-ready records
- Lead internal investigations and recommend policy updates
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services or regulated industry
- Strong knowledge of FINRA, SEC, and Arizona state regulations
- Certified Regulatory Compliance Professional (CRCP) preferred
- Exceptional analytical and problem-solving skills
- Proficient in compliance software (e.g., ComplianceEase, Fiserv)
- Excellent written and verbal communication abilities
- Ability to work independently with minimal supervision