Job Description
Join our dynamic finance team as a Remote Compliance Officer and safeguard our operations while enjoying Colorado's mountain lifestyle from anywhere. We're seeking a detail-oriented professional to ensure regulatory adherence across all financial transactions and reporting processes. This hybrid role offers 100% remote flexibility with quarterly in-person collaboration in our stunning Colorado Springs headquarters.
Mountain State Financial Group provides competitive benefits including comprehensive health plans, 401(k) matching, and professional development stipends. You'll work with cutting-edge compliance technology while maintaining work-life balance in one of America's most desirable locations.
Responsibilities
- Develop and implement internal compliance policies aligned with FINRA, SEC, and state regulations
- Conduct regular risk assessments and internal audits across all financial operations
- Monitor regulatory changes and update compliance frameworks accordingly
- Investigate potential violations and prepare detailed incident reports
- Train staff on compliance protocols and regulatory requirements
- Collaborate with legal counsel on regulatory matters and enforcement actions
- Maintain accurate compliance documentation and audit trails
Qualifications
- Bachelor's degree in Finance, Business Administration, or related field required
- 5+ years of compliance experience in financial services
- FINRA Series 63/65 or 66 certification preferred
- Advanced knowledge of federal/state financial regulations (Dodd-Frank, AML)
- Proficiency in compliance management software (e.g., OnBase, Compliance.ai)
- Exceptional analytical and problem-solving abilities
- Strong written communication skills for policy development and reporting
- Experience with remote work tools and virtual collaboration platforms