Job Description
Are you a detail-oriented professional ready to make an impact?
Summit Financial Group is seeking a dedicated Compliance Officer to join our Scottsdale, Arizona team. In this critical role, you will serve as the primary guardian of our organization's integrity, ensuring strict adherence to federal, state, and local regulations. You will play a key role in shaping our risk management strategies and fostering a culture of ethical compliance.
We pride ourselves on a premium work environment and offer competitive compensation packages.
Responsibilities
- Develop, implement, and monitor internal policies and procedures to ensure full regulatory compliance.
- Conduct comprehensive internal audits and risk assessments to identify potential vulnerabilities.
- Prepare detailed compliance reports and present findings to senior leadership and regulatory bodies.
- Provide ongoing training and guidance to staff regarding regulatory requirements and best practices.
- Investigate and resolve any compliance violations or internal control failures.
- Stay abreast of changes in financial laws and industry standards to keep the organization ahead of the curve.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field (Master’s degree is a plus).
- Minimum of 3-5 years of experience in compliance, risk management, or regulatory affairs.
- Certification such as CFA, CPA, or CAMS is highly desirable.
- Deep knowledge of SEC, FINRA, and state-specific financial regulations.
- Strong analytical and problem-solving skills with the ability to interpret complex regulations.
- Exceptional written and verbal communication skills.