Job Description
Join our dynamic team in Mesa, Arizona as a Full-Time Compliance Officer and become a guardian of regulatory excellence. In this pivotal role, you'll ensure our financial operations adhere to federal and state regulations while fostering a culture of integrity and ethical conduct. We offer competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and Arizona state regulations
- Conduct regular internal audits and risk assessments to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for senior management and regulatory bodies
- Train staff on regulatory requirements and ethical standards
- Stay updated on industry changes and evolving compliance frameworks
- Collaborate with legal and audit teams to ensure cohesive compliance strategies
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- FINRA Series 24 or 26 certification required
- Strong knowledge of federal and state banking regulations
- Exceptional analytical and problem-solving skills
- Proficient in compliance software and data analysis tools
- Excellent written and verbal communication abilities
- Ability to thrive in a fast-paced, regulated environment