Job Description
Join our dynamic team as a Compliance Officer in sunny Tucson, AZ! We're offering a $7,500 sign-on bonus for qualified candidates who start before September 30th. As a key member of our regulatory affairs department, you'll ensure adherence to federal and state financial regulations while driving ethical business practices. Enjoy competitive benefits, remote flexibility options, and a collaborative culture that values professional growth.
Responsibilities
- Monitor regulatory changes and implement updated compliance policies across all business units
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and deliver comprehensive compliance training programs for staff
- Investigate potential violations and recommend corrective actions
- Prepare detailed reports for senior management and regulatory bodies
- Collaborate with legal team on compliance-related matters
- Manage compliance documentation and retention policies
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Active CRCM (Certified Regulatory Compliance Manager) designation
- Deep knowledge of FINRA, SEC, and Arizona state regulations
- Experience with GRC software (e.g., MetricStream, RSA Archer)
- Strong analytical and problem-solving abilities
- Excellent written and verbal communication skills