Job Description
Join our dynamic team as a Part-Time Compliance Officer in Glendale, AZ! Regulatory Compliance Solutions Inc. is seeking a detail-oriented professional to ensure adherence to federal and state regulations while maintaining operational excellence. This hybrid role offers flexibility with 25 hours/week, competitive compensation, and opportunities for professional growth in a supportive environment.
Responsibilities
- Monitor regulatory updates and implement compliance policies across financial operations
- Conduct internal audits and risk assessments for adherence to FINRA/SEC guidelines
- Prepare detailed compliance reports for executive stakeholders and regulatory bodies
- Train staff on regulatory requirements and ethical standards
- Investigate potential compliance breaches and recommend corrective actions
- Maintain accurate documentation of compliance activities in audit-ready systems
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 2+ years of compliance/regulatory experience in financial services
- FINRA Series 63 or 65 license preferred
- Proficiency in compliance software (e.g., RSA Archer, LogicGate)
- Strong analytical skills with attention to detail
- Excellent written and verbal communication abilities
- Ability to work independently with minimal supervision