Job Description
Join our dynamic compliance team at Denver Financial Group and play a pivotal role in safeguarding our organization's integrity. We're urgently seeking a detail-oriented Compliance Officer to navigate complex regulatory landscapes and drive ethical business practices. This is your chance to make an immediate impact in Denver's thriving financial sector while advancing your career in a supportive, growth-oriented environment.
Responsibilities
- Monitor regulatory changes (FINRA, SEC, State Banking Laws) and implement compliance frameworks
- Conduct risk assessments and internal audits across departments
- Develop and maintain compliance policies/procedures with legal counsel
- Train staff on regulatory requirements and ethical conduct
- Investigate potential violations and recommend corrective actions
- Prepare compliance reports for senior leadership and regulatory bodies
- Liaise with external regulators during examinations
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- CFMP, CRCM, or CCEP certification required
- Expertise in FINRA/SEC regulations and state banking laws
- Strong analytical and investigative skills
- Excellent written/verbal communication abilities
- Proficient in compliance software (e.g., Adenza, MetricStream)
- Experience leading regulatory examinations