Job Description
Join our award-winning financial services firm in Chandler, AZ as a Senior Compliance Officer. We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in a dynamic fintech environment. Enjoy competitive compensation, comprehensive benefits, and opportunities for career growth in one of Arizona's most vibrant economic hubs.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and state regulations
- Conduct internal audits and regulatory examinations to identify compliance gaps
- Monitor legislative changes and update policies accordingly
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive stakeholders
- Liaise with regulatory bodies during examinations and inquiries
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) designation
- Expert knowledge of federal and AZ state financial regulations
- Advanced analytical and risk assessment abilities
- Exceptional written/verbal communication skills
- Proficient with compliance management software
- Ability to handle sensitive information with discretion