Job Description
Join our award-winning financial services firm as a Senior Compliance Officer in Tucson, AZ. This high-impact role offers a competitive salary package and the opportunity to shape regulatory frameworks in a dynamic industry. You'll work alongside industry leaders to ensure adherence to federal regulations while driving innovation in compliance strategy. Enjoy comprehensive benefits including health insurance, 401(k) matching, and professional development stipends.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits across financial operations
- Lead regulatory reporting initiatives for AML, KYC, and anti-fraud protocols
- Train staff on compliance policies and regulatory updates
- Collaborate with legal team on regulatory changes and enforcement actions
- Monitor industry trends to proactively address emerging risks
- Prepare executive compliance dashboards and board presentations
Qualifications
- Bachelor's degree in Finance, Business, or Law (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7, 24, or 63 certifications required
- Expertise in AML/KYC regulations and BSA/AML compliance
- Advanced proficiency in compliance software (e.g., Actimize, NICE Actimize)
- Strong analytical skills with attention to regulatory nuances
- Proven track record of reducing compliance violations by 30%+
- Ability to manage competing priorities in fast-paced environments