Job Description
Join Desert Financial Services as a Compliance Officer and kickstart your career with an exceptional sign-on bonus! We're seeking a detail-oriented professional to ensure regulatory adherence while driving ethical practices across our Tucson operations. This role offers competitive compensation, career growth, and the opportunity to make a tangible impact in a dynamic financial services environment.
Our ideal candidate thrives in fast-paced settings and possesses a deep understanding of financial regulations. You'll collaborate with cross-functional teams to implement compliance frameworks, conduct risk assessments, and maintain audit trails. With our commitment to professional development, you'll have access to ongoing training and mentorship opportunities.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (FINRA, SEC, AML)
- Conduct regular audits and risk assessments to identify compliance gaps
- Investigate regulatory violations and recommend corrective actions
- Prepare comprehensive compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory changes and internal compliance policies
- Stay updated on industry trends and regulatory developments
- Collaborate with legal and internal audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) preferred
- Strong knowledge of FINRA, SEC, and AML regulations
- Exceptional analytical and problem-solving abilities
- Advanced proficiency in Microsoft Office Suite and compliance software
- Excellent written and verbal communication skills
- Ability to handle confidential information with discretion