Job Description
Join our award-winning compliance team in sunny Tucson! Southwest Financial Group is seeking a meticulous Compliance Officer to ensure regulatory adherence while driving ethical innovation. We offer a competitive sign-on bonus for qualified candidates who can safeguard our operations while fostering a culture of integrity.
As a key member of our risk management division, you'll collaborate with legal, audit, and business units to develop robust compliance frameworks. Enjoy hybrid work flexibility, comprehensive benefits, and opportunities for professional growth in a rapidly evolving financial landscape.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (e.g., FINRA, SEC, AML)
- Conduct risk assessments and internal audits to identify compliance gaps
- Train staff on regulatory requirements and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain compliance documentation
- Stay updated on evolving compliance legislation and industry best practices
- Collaborate with legal counsel on compliance strategies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Relevant certifications (e.g., CAMS, CRCM, CCEP) preferred
- Strong knowledge of federal/state banking regulations
- Exceptional analytical and problem-solving skills
- Excellent written/verbal communication abilities
- Proficiency with compliance software and data analysis tools