Job Description
Join our elite compliance team in Tucson and shape regulatory excellence at a leading financial institution. We offer a dynamic environment where your expertise will directly impact our organization's integrity and success. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional growth in a city renowned for its quality of life.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (e.g., FINRA, SEC, AML)
- Conduct risk assessments and internal audits to identify compliance gaps
- Provide regulatory guidance to stakeholders across departments
- Investigate and resolve compliance violations with documented remediation plans
- Prepare comprehensive reports for executive leadership and regulatory bodies
- Train staff on evolving compliance requirements and best practices
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Active CRCM, CAMS, or CCEP certification
- Expertise in FINRA/SEC regulations and AML/BSA protocols
- Advanced analytical and problem-solving abilities
- Exceptional communication skills for cross-functional collaboration
- Proficiency with compliance management software (e.g., RSA Archer, LogicGate)