Job Description
Join our dynamic compliance team in Tucson, AZ and make an immediate impact! CompliancePro Solutions is seeking a highly motivated Compliance Officer to start tomorrow. This role offers the rare opportunity to begin your career in regulatory compliance without delays, working with industry leaders to ensure organizational adherence to federal and state regulations. Enjoy competitive compensation, comprehensive benefits, and a supportive work environment in Arizona's vibrant second-largest city.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and Arizona state regulations
- Conduct regular internal audits to identify compliance gaps and recommend corrective actions
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on compliance policies and procedures through interactive workshops
- Monitor regulatory changes and update compliance frameworks accordingly
- Investigate potential compliance violations and recommend disciplinary actions
- Collaborate with legal counsel to navigate complex regulatory landscapes
Qualifications
- Bachelor's degree in Finance, Business Administration, or related field
- 3+ years of compliance experience in financial services or regulated industries
- Active CCEP (Certified Compliance & Ethics Professional) certification preferred
- Deep knowledge of FINRA rules and Arizona Revised Statutes
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills
- Proficiency with compliance management software (e.g., Certify, Compliance.ai)
- Ability to start immediately upon offer acceptance