Job Description
Join our award-winning financial services leader in Glendale, AZ as a Compliance Officer and receive an exclusive $10,000 sign-on bonus! We're seeking a detail-driven professional to safeguard our regulatory integrity while advancing your career in a dynamic, growth-oriented environment. Enjoy competitive benefits, remote flexibility options, and opportunities to shape compliance frameworks at an industry innovator. Apply today to become part of our mission to deliver exceptional financial compliance solutions.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with federal/state regulations (e.g., FINRA, SEC, AML)
- Conduct risk assessments and internal audits to identify compliance gaps and recommend corrective actions
- Train staff on regulatory requirements and policy updates through interactive workshops
- Investigate potential violations and prepare detailed regulatory reports with precision
- Collaborate with legal, risk, and operations teams to ensure cohesive compliance strategies
- Stay current on industry changes through continuous research and professional development
Qualifications
- Bachelor's degree in Finance, Business, or related field; JD/CIA/CCEP preferred
- 3+ years of compliance experience in financial services or regulated industry
- Deep knowledge of FINRA regulations, SEC guidelines, and AML/BSA requirements
- Exceptional analytical skills with attention to detail and documentation accuracy
- Strong written/verbal communication skills for training and reporting
- Proficiency with compliance software (e.g., Actimize, Nasdaq Compliance)
- Ability to thrive in fast-paced environments with competing priorities