Job Description
Join our dynamic team at Desert Financial Partners as a Part-Time Compliance Officer and play a pivotal role in ensuring regulatory excellence. This flexible opportunity (20-25 hours/week) allows you to make a significant impact while maintaining work-life balance. You'll collaborate with cross-functional teams to implement robust compliance frameworks, conduct risk assessments, and maintain meticulous documentation. Our Phoenix-based firm values innovation and integrity, offering a supportive environment for professional growth in the financial services sector.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, AML) to update compliance policies
- Conduct internal audits and compliance reviews across financial products
- Develop and deliver compliance training programs for staff
- Investigate and resolve compliance breaches with corrective action plans
- Maintain accurate records of compliance activities and reporting
- Collaborate with legal and risk management teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 2+ years compliance experience in financial services
- Knowledge of FINRA, SEC, and state regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Strong analytical and documentation skills
- Proficiency with compliance software (e.g., Wolters Kluwer, ComplyAdvantage)
- Ability to work independently with minimal supervision