Job Description
Join our elite compliance team in Chandler, AZ as a Senior Compliance Officer where you'll shape regulatory strategies and protect our organization's integrity. We offer a dynamic environment with competitive compensation and unparalleled growth opportunities for compliance professionals ready to make an impact.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with FINRA, SEC, and Arizona state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Lead regulatory investigations and remediation efforts for financial misconduct
- Train staff on compliance protocols and regulatory updates
- Collaborate with legal and executive teams on compliance strategy
- Monitor industry changes and advise on regulatory implications
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) designation required
- Expert knowledge of FINRA rules and SEC regulations
- Strong analytical and investigative skills
- Experience with compliance software (e.g., ComplianceEase)
- Ability to manage complex regulatory projects