Job Description
Join our dynamic team as a Compliance Officer in Scottsdale, AZ! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. This immediate hire opportunity offers competitive compensation, comprehensive benefits, and the chance to make a tangible impact on our compliance framework. If you're passionate about regulatory excellence and thrive in collaborative settings, apply today to start your career with us!
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, OCC) to update compliance policies
- Conduct internal audits and risk assessments across all business units
- Develop and deliver compliance training programs for 200+ employees
- Investigate and resolve compliance violations with corrective action plans
- Prepare detailed compliance reports for executive leadership and regulators
- Collaborate with legal and operations teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) preferred
- Advanced knowledge of FINRA/SEC regulations
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills
- Proficiency in compliance management software (e.g., ComplianceEase)