Job Description
We are seeking a detail-oriented and highly analytical Part-Time Compliance Officer to join our growing team in Phoenix, AZ. At Summit Compliance Group, we pride ourselves on maintaining the highest standards of integrity and regulatory adherence. This role offers a flexible schedule for the right candidate looking to make a significant impact in a dynamic environment.
As a Compliance Officer, you will act as the guardian of our operational integrity, ensuring that our practices align with federal, state, and industry regulations. You will collaborate closely with leadership to develop policies, conduct risk assessments, and ensure our employees are trained on the latest compliance standards.
Responsibilities
- Monitor Regulatory Changes: Stay abreast of local and federal regulations, including AML (Anti-Money Laundering) and KYC (Know Your Customer) requirements, to ensure our organization remains compliant.
- Conduct Internal Audits: Perform periodic reviews of departmental procedures and internal controls to identify potential risks and areas for improvement.
- Develop Policies: Draft, update, and disseminate compliance policies and procedures to ensure they are clear, accessible, and understood by all staff members.
- Incident Management: Investigate internal concerns or reports of potential non-compliance and recommend corrective actions to mitigate legal and financial risks.
- Training & Education: Organize and lead training sessions for employees regarding compliance standards, ethics, and regulatory updates.
- Reporting: Prepare detailed reports for senior management and external regulators regarding the organization's compliance status and audit findings.
Qualifications
- Education: Bachelor’s degree in Finance, Law, Business Administration, or a related field is required.
- Experience: Minimum of 3-5 years of experience in compliance, risk management, or internal auditing within the financial or healthcare sector.
- Knowledge: Strong understanding of applicable laws, regulations, and best practices in compliance (e.g., SEC, FINRA, HIPAA, or state-specific regulations).
- Skills: Excellent analytical skills with the ability to interpret complex regulations and translate them into actionable business processes.
- Attention to Detail: Meticulous approach to reviewing documentation and data to ensure accuracy and adherence to protocols.
- Communication: Strong verbal and written communication skills, capable of presenting complex information to non-technical stakeholders.