Job Description
Join our dynamic team as a Part-Time Compliance Officer at Mountain View Financial Services. This role offers the perfect opportunity to leverage your expertise in regulatory frameworks while maintaining a flexible schedule. As a key member of our risk management division, you'll ensure adherence to federal and state regulations, safeguarding our clients' interests and our institutional integrity. We're seeking a detail-oriented professional passionate about maintaining compliance excellence in a fast-paced financial environment. Enjoy competitive compensation, professional development opportunities, and a collaborative workplace culture in the heart of Colorado Springs.
Responsibilities
- Monitor and implement federal/state regulatory changes (e.g., FINRA, SEC, Colorado Banking Laws)
- Conduct internal audits and compliance reviews to identify risk exposures
- Develop and maintain comprehensive compliance policies and procedures
- Train staff on regulatory requirements and ethical standards
- Investigate and resolve compliance violations with corrective action plans
- Prepare detailed compliance reports for senior leadership and regulatory bodies
- Collaborate with legal and audit teams to ensure consistent compliance practices
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- 3+ years of compliance/regulatory experience in financial services
- Strong knowledge of FINRA rules, SEC regulations, and Colorado state laws
- Excellent analytical skills with attention to detail
- Effective written/verbal communication abilities
- Certified Regulatory Compliance Manager (CRCM) preferred
- Ability to work independently with minimal supervision
- Proficiency in compliance software (e.g., Covidity, Compliance.ai)