Job Description
Join our dynamic team at Denver Financial Services as a Senior Compliance Officer and play a pivotal role in safeguarding our organization's integrity. We're seeking a detail-oriented professional to navigate complex regulatory landscapes and drive our compliance framework forward. Enjoy competitive benefits, professional growth opportunities, and the chance to make a tangible impact in the heart of Denver's thriving financial district.
Responsibilities
- Develop, implement, and maintain robust compliance programs aligned with federal/state regulations (FINRA, SEC, etc.)
- Conduct thorough risk assessments and internal audits across all business units
- Investigate potential violations and recommend corrective actions
- Provide comprehensive compliance training to 200+ employees quarterly
- Prepare detailed regulatory reports and disclosures for executive leadership
- Collaborate with legal and audit teams to ensure policy alignment
- Stay current on emerging regulatory trends and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, or related field; Master's preferred
- 5+ years of compliance experience in financial services
- FINRA Series 24/26 or CCEP certification required
- Expert knowledge of Colorado financial regulations
- Proven experience with AML/KYC protocols and risk assessment frameworks
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills
- Proficiency in compliance management software (e.g., MetricStream, SAI360)