Job Description
Are you a dedicated professional looking to make a meaningful impact in the financial sector? Horizon Compliance Group is seeking a highly skilled and strategic Senior Compliance Officer to join our dynamic team in Phoenix, AZ. In this pivotal role, you will serve as the guardian of our organization's integrity, ensuring we adhere to the highest standards of regulatory compliance while fostering a culture of ethical excellence.
We offer a competitive salary package, comprehensive benefits, and a collaborative work environment where your expertise is valued. If you have a keen eye for detail and a passion for risk mitigation, we want to hear from you.
Responsibilities
- Oversee and manage the organization's compliance program, ensuring alignment with federal, state, and local regulations.
- Conduct regular internal audits and risk assessments to identify potential vulnerabilities in operational processes.
- Develop, implement, and update compliance policies and procedures to reflect changes in legislation and industry standards.
- Coordinate with legal and senior management to address compliance issues and implement corrective actions.
- Provide training and guidance to staff on regulatory requirements and company policies.
- Monitor external trends and regulatory changes to ensure proactive adaptation of compliance strategies.
- Prepare and maintain detailed reports on compliance activities and audit findings for executive leadership.
Qualifications
- Bachelor’s degree in Law, Finance, Business Administration, or a related field (Master’s degree preferred).
- 5+ years of progressive experience in compliance, risk management, or auditing within the financial services industry.
- Professional certifications such as CPA, CFE, CCE, or CRCM are highly desirable.
- In-depth knowledge of SEC, FINRA, and other relevant regulatory frameworks.
- Strong analytical skills with the ability to interpret complex regulations and apply them practically.
- Excellent verbal and written communication skills, with the ability to present complex information clearly.
- Proven track record of leading audit initiatives and managing regulatory inquiries.