Job Description
Urgent Opportunity: Join our dynamic compliance team at Denver Financial Solutions Group! We're seeking a meticulous Compliance Officer to safeguard our regulatory integrity in the heart of Colorado's financial hub. This high-impact role offers competitive compensation, comprehensive benefits, and the chance to shape our compliance framework in a rapidly evolving industry. Apply today and become a cornerstone of our organizational excellence!
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal (SEC, FINRA) and state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Provide expert guidance to stakeholders on regulatory changes and policy updates
- Manage regulatory reporting requirements and ensure accurate submission to governing bodies
- Lead investigations into potential compliance violations and recommend corrective actions
- Collaborate with legal, operations, and audit teams to maintain robust control environments
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industries
- Strong knowledge of SEC, FINRA, and Colorado state regulatory frameworks
- Certified Regulatory Compliance Manager (CRCM) or equivalent designation required
- Exceptional analytical skills with attention to detail and precision
- Proven ability to interpret complex regulations and translate into actionable policies