Job Description
Join our dynamic team as a Compliance Officer in Phoenix, AZ! We're urgently seeking a detail-driven professional to safeguard our regulatory integrity and drive ethical excellence. If you thrive in fast-paced environments and possess a passion for compliance, this is your opportunity to make an immediate impact. Enjoy competitive compensation, comprehensive benefits, and a collaborative culture that values innovation and integrity.
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
- Train staff on regulatory changes and best practices
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and executive teams on policy updates
- Prepare detailed reports for regulatory bodies and stakeholders
- Stay updated on industry trends to proactively address emerging risks
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and Arizona state regulations
- Certified Regulatory Compliance Manager (CRCM) or equivalent
- Exceptional analytical and problem-solving skills
- Experience with compliance software (e.g., OnBase, Diligent)
- Ability to thrive in deadline-driven environments