Job Description
Join our dynamic team as a Compliance Officer in Phoenix, AZ! We're urgently seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks. Enjoy competitive compensation, comprehensive benefits, and the opportunity to shape compliance strategies in a fast-paced financial services environment.
Responsibilities
- Monitor and interpret federal/state regulations (SEC, FINRA, AML)
- Develop/implement compliance policies and procedures
- Conduct internal audits and risk assessments
- Train staff on regulatory changes and compliance protocols
- Investigate potential compliance breaches and recommend corrective actions
- Prepare regulatory reports and maintain documentation
- Collaborate with legal and senior leadership on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/regulatory experience in financial services
- FINRA Series 63/65 or 24 license preferred
- Strong knowledge of federal/state compliance regulations
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., Smartsheet, ComplyXL)
- Excellent written/verbal communication abilities