Job Description
Join our award-winning compliance team in Mesa, AZ and elevate your career with a competitive sign-on bonus! We're seeking a meticulous Compliance Officer to safeguard our financial operations while ensuring adherence to federal and state regulations. This hybrid role offers remote flexibility with quarterly in-office collaboration at our state-of-the-art facility. Enjoy comprehensive benefits including health insurance, 401(k) matching, and professional development stipends.
Responsibilities
- Monitor regulatory changes and implement updated compliance protocols across all departments
- Conduct internal audits to assess adherence to FINRA, SEC, and AML regulations
- Develop and maintain comprehensive compliance documentation and training programs
- Collaborate with legal and risk management teams on compliance initiatives
- Investigate and resolve compliance violations with corrective action plans
- Prepare detailed regulatory reports for executive leadership and governing bodies
- Lead cross-functional compliance committees to drive organizational awareness
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Active CRCM or CAMS certification required
- Proficiency with compliance software (e.g., ComplySci, MetricStream)
- Strong analytical skills with attention to regulatory detail
- Excellent written and verbal communication abilities
- Experience with BSA/AML and Dodd-Frank regulations
- Ability to manage competing priorities in fast-paced environments