Job Description
Join Phoenix Financial Solutions as an Immediate Hire Compliance Officer and become a critical guardian of regulatory excellence in Arizona's thriving financial sector. We're seeking a proactive professional to implement robust compliance frameworks, mitigate risks, and ensure adherence to federal and state regulations. This is your chance to make an immediate impact in a dynamic environment where your expertise drives ethical business practices and protects organizational integrity.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and Arizona state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Prepare comprehensive regulatory reports and maintain accurate documentation
- Train staff on compliance policies and regulatory updates
- Collaborate with legal and audit teams to resolve compliance issues
- Stay current on evolving financial regulations and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and Arizona state regulations
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Exceptional analytical and problem-solving skills
- Proficiency with compliance management software (e.g., MetricStream, OnBase)
- Excellent written communication and report-writing abilities