Job Description
Join Mesa Financial Solutions as a Compliance Officer and receive a $5,000 sign-on bonus! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our dynamic financial services environment. This pivotal role offers career growth, comprehensive benefits, and the opportunity to shape compliance frameworks in a forward-thinking organization.
Our Mesa-based team values integrity and innovation. You'll collaborate with cross-functional departments while maintaining compliance with federal and state regulations. Enjoy competitive compensation, flexible work options, and a supportive culture committed to professional development.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and Arizona state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Prepare detailed regulatory reports and maintain accurate documentation
- Train staff on compliance policies and procedures
- Investigate potential violations and recommend corrective actions
- Stay updated on regulatory changes and advise leadership on implications
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- FINRA Series 7, 24, or 63/66 certifications preferred
- Strong knowledge of federal and state banking regulations
- Exceptional analytical and problem-solving abilities
- Proficient in compliance software and MS Office Suite
- Excellent written and verbal communication skills
- Ability to handle sensitive information with discretion