Job Description
Join our dynamic team in Phoenix as a Senior Compliance Officer! We're seeking a detail-oriented professional to safeguard regulatory compliance across financial operations. This hybrid role combines strategic oversight with hands-on implementation of compliance frameworks. Enjoy competitive benefits, professional development opportunities, and a collaborative environment in Arizona's thriving financial hub.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations
- Conduct risk assessments and internal audits for financial products/services
- Investigate regulatory violations and recommend corrective actions
- Train staff on compliance policies and regulatory changes
- Prepare regulatory reports and maintain documentation systems
- Collaborate with legal team on compliance-related matters
- Stay updated on FINRA/SEC/FDIC regulations
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- FINRA Series 63/65/66 licenses required
- Experience with AML/KYC protocols
- Strong knowledge of Arizona state banking regulations
- Excellent analytical and problem-solving skills
- Certified Regulatory Compliance Manager (CRCM) certification preferred