Job Description
Join CompliancePro Solutions as a Part-Time Compliance Officer in Glendale, AZ! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks for our financial services clients. This flexible 20-hour/week role offers competitive compensation and the opportunity to make a tangible impact in a growing industry.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, state laws)
- Conduct compliance audits and risk assessments
- Develop/update compliance policies and procedures
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Maintain accurate compliance documentation and reporting
- Collaborate with legal and senior leadership on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- FINRA Series 63/65/66 licenses required
- Advanced knowledge of federal/state compliance regulations
- Strong analytical and problem-solving abilities
- Excellent written/verbal communication skills
- Proficiency with compliance management software
- Ability to work independently with minimal supervision