Job Description
Join Tucson Financial Solutions Group as a Compliance Officer and enjoy the stability of weekly pay while ensuring regulatory excellence in our dynamic financial services environment. We're seeking a detail-oriented professional to safeguard our operations and maintain industry-leading compliance standards. Weekly pay means reliable income without waiting for monthly cycles – a rare perk in this field! Enjoy competitive benefits, professional development opportunities, and a collaborative culture that values integrity and innovation.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (FINRA, SEC, AML)
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare detailed reports for executive leadership and regulatory bodies
- Train staff on compliance policies and regulatory updates
- Investigate and resolve compliance violations with corrective action plans
- Stay current on evolving financial regulations and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years compliance experience in financial services
- FINRA Series 63/65/66 or equivalent certification required
- Strong knowledge of AML, KYC, and SEC regulations
- Exceptional analytical and problem-solving abilities
- Proficient with compliance software (e.g., ComplySci, Adenza)
- Excellent written/verbal communication skills