Job Description
Join Mesa Financial Solutions as a Compliance Officer and enjoy the security of weekly pay! We're seeking a detail-oriented professional to ensure regulatory adherence and operational integrity. In this pivotal role, you'll safeguard our organization against compliance risks while contributing to a culture of excellence. With competitive compensation, comprehensive benefits, and a supportive team environment, this is your opportunity to thrive in Mesa's dynamic financial sector.
Responsibilities
- Monitor regulatory changes and implement compliance policies across all departments
- Conduct internal audits to assess adherence to federal/state regulations (e.g., FINRA, SEC)
- Develop and maintain compliance documentation, including risk assessments and training materials
- Collaborate with legal and executive teams to resolve compliance issues
- Lead investigations of potential violations and recommend corrective actions
- Prepare reports for regulatory bodies and senior management
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and Arizona state laws
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving skills
- Proficient in compliance software (e.g., Compliance.ai, Adenza)
- Excellent written/verbal communication abilities