Job Description
Join Desert Financial Group, a leading financial institution in Tucson, as our Senior Compliance Officer. This high-impact role ensures adherence to federal and state regulations while driving our ethical culture forward. Enjoy competitive compensation, comprehensive benefits, and the opportunity to shape compliance strategy in a dynamic environment.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits for financial products and services
- Investigate and resolve compliance violations with corrective action plans
- Train staff on regulatory updates and ethical practices
- Collaborate with legal and executive teams on policy development
- Monitor industry trends and emerging regulations
- Prepare regulatory reports and disclosures
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Certifications (CRCM, CAMS, or CCEP) highly valued
- Deep knowledge of FINRA, AML, and banking regulations
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills
- Experience with compliance software and reporting tools