Senior Compliance Officer

Advisors, operations, compliance and technology teams total roughly 840 people. Since 1994, the firm has grown through acquisitions of independent advisory practices.

Position summary

Green Valley Investment Partners is looking for a Senior Compliance Officer to join a small, steady team. This role prepares for regulatory exams and works directly with examiners. Remote position. Most of the team is in Phoenix, but nobody is required to come in. Normal working hours, Monday to Friday. We talk mostly in Slack and hop on quick calls when something needs discussing.

In this role you will

• Train employees on annual compliance topics and new rules.
• Test branch and lending processes against policy and regulation.
• Perform enhanced due diligence reviews on higher-risk accounts.
• Coordinate regulatory exams and audit requests, and follow findings to closure.
• Advise managers on regulatory questions in day-to-day operations.

Qualifications

• 5-7 years of compliance, audit or risk experience in banking or financial services.
• Strong writing for policies, findings and board reports.
• Comfortable training groups and presenting to committees.
• Organized, with a careful approach to documentation.
• Working knowledge of BSA/AML, OFAC and consumer lending regulations.
• Familiar with AML monitoring systems such as Verafin or Abrigo.
• Experience with regulatory exams (FDIC, OCC, Federal Reserve or state regulators)

Preferred

• Law degree.
• CAMS or CRCM certification.

Benefits

• Medical, dental and vision insurance.
• 401(k) with 4% match.
• 11 paid holidays.
• Flexible schedule.
• Employee assistance program.
• 12 weeks of paid parental leave.
• Professional development budget.

Green Valley Investment Partners provides equal employment opportunities to all employees and applicants.

New hires usually start two to three weeks after accepting an offer.

Start: Immediately.

Demo job created on 11jobs for testing and demonstrations. It is not an actual opening at Green Valley Investment Partners.