Job Description
Join our dynamic compliance team in Colorado Springs and make an immediate impact! Mountain State Financial Group is seeking a detail-oriented Compliance Officer to ensure regulatory adherence and mitigate risks for our growing financial services portfolio. This urgent opening requires a proactive professional who can start tomorrow and hit the ground running in a fast-paced environment. You'll work collaboratively with legal, operations, and audit teams to implement robust compliance frameworks while maintaining exceptional client service standards.
Responsibilities
- Monitor and interpret federal/state regulations (FINRA, SEC, CFPB) ensuring organizational compliance
- Conduct risk assessments and develop mitigation strategies for compliance gaps
- Prepare comprehensive audit reports and corrective action plans
- Train staff on compliance policies and regulatory updates
- Manage investigations of suspicious activities and regulatory inquiries
- Coordinate with external auditors and regulatory examinations
- Maintain accurate compliance documentation and reporting systems
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services
- Active CRCM or CCEP certification required
- Expert knowledge of FINRA rules and banking regulations
- Advanced proficiency in compliance software (e.g., OnBase, Ad hoc)
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication skills
- Ability to prioritize tasks under tight deadlines