Job Description
Join our dynamic compliance team at Mountain View Compliance Group, where integrity meets innovation. We're seeking a detail-oriented Part-Time Compliance Officer to safeguard our operations and ensure adherence to regulatory frameworks in the heart of Colorado Springs. This role offers flexible hours while making a significant impact on our organization's ethical standards and risk mitigation strategies. Enjoy a supportive environment with competitive compensation and opportunities for professional growth.
Responsibilities
- Monitor federal, state, and local regulatory changes affecting financial services
- Conduct internal audits to assess compliance with AML, KYC, and FINRA regulations
- Develop and implement compliance policies and procedures
- Train staff on compliance requirements and ethical conduct
- Investigate potential violations and recommend corrective actions
- Maintain detailed compliance documentation and reporting
- Collaborate with legal and senior leadership on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 2+ years of compliance/regulatory experience
- Knowledge of FINRA, SEC, and Colorado state regulations
- Certified Compliance & Ethics Professional (CCEP) preferred
- Strong analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Proficient in compliance management software
- Ability to work independently with minimal supervision