Job Description
Join our award-winning compliance team in Scottsdale, AZ with comprehensive paid training designed to launch your career in regulatory oversight. We're seeking motivated professionals to protect our clients' interests while maintaining industry-leading standards. This hybrid role combines hands-on mentorship with cutting-edge compliance tools, offering a clear path to career advancement within our growing financial services organization.
What We Offer:
- 8-week paid compliance certification program
- Industry-leading benefits package (health, dental, vision)
- Performance-based bonuses and profit-sharing
- Clear promotion track to Senior Compliance roles
- Modern Scottsdale office with flexible scheduling
Responsibilities
- Monitor regulatory changes (FINRA, SEC, state laws) and implement compliance protocols
- Conduct internal audits and risk assessments across client portfolios
- Develop training materials for staff on compliance procedures
- Investigate and resolve compliance violations with corrective action plans
- Maintain digital compliance records and reporting systems
- Collaborate with legal team on policy development and updates
- Represent company in regulatory examinations and audits
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- Strong attention to detail and analytical thinking skills
- Excellent written and verbal communication abilities
- Proficiency with Microsoft Office Suite and compliance software
- Ability to obtain FINRA Series 63/65/66 certifications within 12 months
- Proven ability to manage multiple priorities in a fast-paced environment
- Commitment to continuous learning and professional development