Job Description
Join our dynamic compliance team as a Part-Time Compliance Officer in Phoenix, AZ. You'll play a critical role in ensuring our organization adheres to federal and state regulations while maintaining ethical standards. This flexible position offers the perfect opportunity to make a significant impact in a fast-paced financial environment.
What We Offer:
- Competitive hourly compensation
- Flexible scheduling
- Comprehensive training program
- Collaborative team culture
- Growth opportunities within the organization
Responsibilities
- Monitor and ensure adherence to FINRA, SEC, and Arizona state regulations
- Conduct periodic compliance audits and risk assessments
- Develop and implement compliance policies and procedures
- Investigate and resolve compliance violations
- Prepare detailed compliance reports for senior management
- Train staff on regulatory requirements and ethical practices
- Stay updated on industry regulatory changes
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 2+ years of compliance experience in financial services
- Knowledge of FINRA/SEC regulations and Arizona state laws
- Strong analytical and problem-solving skills
- Excellent written and verbal communication abilities
- Ability to work independently with minimal supervision
- Professional certifications (CRCM, CAMS) preferred