Job Description
Join ComplianceFirst Solutions as a Part-Time Compliance Officer and become a guardian of regulatory excellence in Colorado Springs' thriving business landscape. This dynamic role offers flexible hours while ensuring adherence to federal, state, and industry-specific regulations. You'll work alongside our dedicated team to implement robust compliance frameworks, conduct risk assessments, and maintain audit readiness. If you're passionate about ethical business practices and want to make a tangible impact while maintaining work-life balance, this opportunity is your gateway to professional fulfillment.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, Colorado state laws) to update compliance policies
- Conduct periodic internal audits and risk assessments for financial services clients
- Develop and deliver compliance training programs for 15-20 employees monthly
- Investigate potential violations and prepare detailed incident reports
- Maintain accurate compliance documentation in GRC software systems
- Collaborate with legal counsel on regulatory enforcement actions
- Prepare quarterly compliance reports for executive stakeholders
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- 2+ years of compliance/regulatory experience in financial services
- Certified Regulatory Compliance Manager (CRCM) preferred
- Advanced knowledge of FINRA rules and Colorado DORA regulations
- Proficient in Microsoft Office Suite and compliance management software
- Exceptional written communication and documentation skills
- Ability to work independently with minimal supervision
- Valid Colorado driver's license for occasional client site visits