Job Description
Join Tucson Financial Group as a Compliance Officer and enjoy the security of weekly pay while ensuring regulatory excellence! We're seeking a detail-oriented professional to safeguard our operations in the dynamic financial sector of Tucson. With competitive compensation, comprehensive benefits, and a commitment to work-life balance, this role offers immediate financial stability and career growth.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Investigate regulatory violations and recommend corrective actions
- Train staff on compliance policies and procedures
- Prepare detailed reports for regulatory bodies and senior leadership
- Stay updated on industry regulations (FINRA, SEC, etc.)
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/regulatory experience in finance
- Strong knowledge of FINRA/SEC regulations
- Excellent analytical and problem-solving skills
- Certified Regulatory Compliance Manager (CRCM) preferred
- Proficient in compliance management software
- Ability to thrive in fast-paced environments