Job Description
Join our dynamic compliance team as an Entry-Level Compliance Officer and launch your career in regulatory oversight! We're seeking motivated individuals with no prior experience who are passionate about maintaining ethical standards and regulatory compliance. Mountain State Financial Services provides comprehensive training and mentorship to help you develop expertise in financial regulations, risk assessment, and policy implementation. Our collaborative environment offers growth opportunities into senior compliance roles while serving Colorado Springs' growing financial sector.
Responsibilities
- Monitor and ensure adherence to federal and state regulations (SEC, FINRA, etc.)
- Assist in developing and updating compliance policies and procedures
- Conduct routine internal audits and document findings
- Prepare compliance reports for regulatory bodies and management
- Respond to client inquiries regarding compliance matters
- Stay updated on regulatory changes and industry best practices
- Collaborate with legal and risk management teams
Qualifications
- High school diploma or equivalent (degree preferred)
- Strong attention to detail and analytical skills
- Excellent written and verbal communication abilities
- Proficiency in Microsoft Office Suite
- Ability to learn complex regulations quickly
- Basic understanding of financial services (training provided)
- Strong ethical judgment and integrity
- Ability to work independently and in teams