Job Description
Join our dynamic team immediately as a Compliance Officer in Phoenix, AZ! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. This is a direct-hire opportunity offering competitive compensation and rapid onboarding.
As a key member of our risk management division, you'll implement compliance frameworks, conduct audits, and stay ahead of evolving regulations. Enjoy modern office amenities, flexible scheduling options, and comprehensive benefits including health insurance and retirement plans.
Responsibilities
- Develop and maintain robust compliance programs aligned with federal/state regulations
- Conduct internal audits and risk assessments across financial operations
- Monitor regulatory changes (FinCEN, SEC, AML) and update policies accordingly
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive leadership
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) preferred
- Expert knowledge of FINRA, SEC, and Arizona state regulations
- Advanced proficiency in compliance software (e.g., MetricStream)
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication skills
- Ability to thrive in deadline-driven environments