Job Description
Join our dynamic compliance team at Global Financial Solutions in Scottsdale, Arizona! We're seeking a dedicated Senior Compliance Officer to safeguard our operations while driving ethical excellence in a rapidly evolving financial landscape. This pivotal role combines regulatory expertise with strategic business partnership, offering you the chance to make tangible impact while enjoying Arizona's premier work-life balance.
Our Scottsdale headquarters features state-of-the-art facilities, flexible work arrangements, and a culture that champions professional growth. You'll collaborate with cross-functional teams to embed compliance into business processes while contributing to our industry-leading risk management framework.
Responsibilities
- Develop, implement, and monitor robust compliance programs aligned with federal (SEC, FINRA) and state regulations
- Conduct comprehensive risk assessments and internal audits across financial products and services
- Provide expert guidance to business units on regulatory requirements and best practices
- Lead regulatory examinations and enforcement actions with external authorities
- Design and deliver compliance training programs for 500+ employees
- Manage regulatory reporting requirements and maintain compliance documentation systems
- Collaborate with legal and audit teams on cross-functional risk initiatives
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's/JD preferred)
- 5+ years compliance experience in financial services with FINRA/SEC regulations
- Active CCO or CRCM certification strongly preferred
- Proven expertise in AML, BSA, and anti-fraud frameworks
- Exceptional analytical skills with regulatory interpretation experience
- Advanced proficiency in compliance monitoring tools (e.g., NASD, Actimize)
- Strong written/verbal communication skills for complex regulatory guidance
- Experience managing compliance in fintech or wealth management sectors