Job Description
Join Mountain View Financial Services as our next Remote Compliance Officer and become a guardian of ethical excellence in the finance industry. This pivotal role combines the flexibility of remote work with the opportunity to shape our compliance framework in the scenic Colorado Springs area. We offer a collaborative culture, competitive benefits, and the chance to work alongside industry leaders while maintaining work-life balance.
As a key member of our regulatory affairs team, you'll ensure adherence to federal and state regulations while driving continuous improvement in our compliance programs. Your expertise will directly impact our organizational integrity and protect our clients' interests in an ever-evolving financial landscape.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and Colorado state regulations
- Conduct risk assessments and internal audits to identify potential compliance vulnerabilities
- Provide expert guidance to departments on regulatory changes and policy updates
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Lead investigations into compliance breaches and recommend corrective actions
- Train staff on compliance protocols and ethical standards
- Collaborate with legal counsel to navigate complex regulatory challenges
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Active CRCM or CAMS certification required
- Deep knowledge of FINRA rules, SEC regulations, and Colorado financial statutes
- Proven experience developing compliance policies and procedures
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills
- Experience with remote work tools and self-management