Job Description
Join our dynamic compliance team as a Compliance Officer in Colorado Springs! We offer fully flexible scheduling to accommodate your work-life balance while ensuring regulatory excellence. As a key member of our finance operations, you'll safeguard organizational integrity through proactive monitoring, policy development, and risk mitigation in a collaborative environment.
Why Apply? Competitive salary, comprehensive benefits, and the freedom to structure your workday around your personal commitments. Perfect for professionals seeking career growth without sacrificing personal time.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal/state regulations (FINRA, SEC, etc.)
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on compliance protocols and regulatory updates
- Investigate and resolve compliance violations through corrective action plans
- Collaborate with legal and finance teams on policy development
- Monitor regulatory changes and adapt procedures accordingly
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years compliance/regulatory experience in financial services
- Strong knowledge of FINRA/SEC regulations and Colorado state laws
- Excellent analytical and problem-solving abilities
- Professional certification (CRCM, CCEP, or CCEP-A) preferred
- Exceptional written/verbal communication skills
- Proficiency with compliance software (e.g., OnBase, LogicGate)
- Ability to work independently with flexible scheduling