Job Description
Join our dynamic team at Scottsdale Financial Group as a Compliance Officer and make an immediate impact! We're seeking a detail-oriented professional to ensure our operations adhere to federal and state regulations. This is a rare opportunity to step into a critical role within a rapidly growing financial services firm. Enjoy competitive compensation, comprehensive benefits, and a collaborative work environment in Scottsdale's thriving business district.
Responsibilities
- Monitor and implement compliance policies in alignment with FINRA, SEC, and Arizona state regulations
- Conduct internal audits and risk assessments to identify potential compliance gaps
- Develop and deliver compliance training programs for all staff members
- Investigate and resolve compliance violations with corrective action plans
- Stay updated on regulatory changes and advise leadership on compliance implications
- Maintain accurate compliance records and documentation
- Collaborate with legal and HR departments on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- FINRA Series 7, 24, or 63 certifications (or ability to obtain within 90 days)
- Strong knowledge of federal and state regulatory frameworks
- Exceptional analytical and problem-solving abilities
- Advanced proficiency in compliance management software
- Excellent written and verbal communication skills
- Ability to thrive in a fast-paced, deadline-driven environment