Job Description
Join our dynamic team as a Compliance Officer in Phoenix, AZ and make an immediate impact! We're seeking a detail-oriented professional to ensure regulatory adherence and drive ethical business practices. This full-time position offers competitive compensation, comprehensive benefits, and the opportunity to grow in a fast-paced financial services environment. If you're passionate about compliance and ready to start immediately, apply today!
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Advise stakeholders on regulatory changes and mitigation strategies
- Prepare detailed compliance reports for executive leadership
- Investigate and resolve compliance violations with corrective actions
- Coordinate with external auditors and regulatory agencies
- Train employees on compliance policies and procedures
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance/regulatory experience in financial services
- Strong knowledge of FINRA, SEC, and Arizona state regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving skills
- Advanced proficiency in Microsoft Office Suite
- Ability to work independently and manage multiple priorities
- Excellent written and verbal communication skills