Job Description
Join our dynamic team as a Part-Time Compliance Officer in Phoenix, AZ. We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks across financial operations. This hybrid role offers flexible hours while making a significant impact on our compliance framework. If you're passionate about maintaining ethical standards and thrive in a collaborative environment, apply today to advance your career in compliance.
Responsibilities
- Monitor and implement federal/state regulations (FINRA, SEC, AML)
- Conduct internal audits and compliance assessments
- Develop/update compliance policies and procedures
- Train staff on regulatory requirements and best practices
- Investigate and resolve compliance violations
- Prepare regulatory reports and documentation
- Liaise with external auditors and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/regulatory experience
- FINRA Series 63/65/66 licenses preferred
- Proficiency in compliance software (e.g., ComplySci, RCM)
- Strong analytical and problem-solving skills
- Excellent written/verbal communication abilities
- Certified Compliance & Ethics Professional (CCEP) a plus