Job Description
Join Veritas Financial Group as a Senior Compliance Officer and become a guardian of regulatory excellence in Denver's thriving financial sector. We're seeking a proactive professional to shape our compliance framework and ensure adherence to evolving federal and state regulations. This role offers strategic influence, career growth, and the opportunity to work with industry leaders in a dynamic environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and Colorado banking regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Train staff on regulatory requirements and ethical standards
- Investigate potential violations and recommend corrective actions
- Liaise with regulatory agencies during examinations and inquiries
- Stay current on regulatory changes through continuous research
- Prepare comprehensive compliance reports for executive leadership
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7, 24, or 63 licenses required
- Expertise in AML, BSA, and Dodd-Frank regulations
- Strong analytical and risk assessment skills
- Exceptional written and verbal communication abilities
- Proven experience leading compliance initiatives
- Proficiency with compliance management software (e.g., MetricStream)