Job Description
Join our dynamic compliance team at Global Financial Services in Scottsdale, AZ as a Compliance Officer with flexible scheduling options! We're seeking a detail-oriented professional to ensure regulatory adherence while maintaining work-life balance. Enjoy hybrid work arrangements and adaptable hours tailored to your needs. This pivotal role safeguards our organization against financial crimes while supporting our mission to deliver exceptional client experiences.
Responsibilities
- Develop, implement, and monitor compliance programs adhering to federal regulations (FINRA, SEC, OCC)
- Conduct risk assessments and internal audits for financial service operations
- Prepare comprehensive compliance reports for executive stakeholders and regulatory bodies
- Train staff on updated compliance policies and regulatory changes
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and audit teams to ensure consistent standards
- Maintain detailed documentation of compliance activities and investigations
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- FINRA Series 7, 63, and 24 certifications (or ability to obtain within 6 months)
- Strong knowledge of AML, BSA, and anti-fraud regulations
- Exceptional analytical and problem-solving abilities
- Advanced proficiency in compliance management software (e.g., ComplyAdvantage)
- Excellent written and verbal communication skills