Associate Director of Compliance & Risk (Financial Services)
Vaco Recruiter Services, Phoenix, AZ, United States
Location:
Phoenix, AZ Compensation:
Up to $100,000 salary, depending on experience Vaco has partnered with a well‑established financial institution to hire a Compliance & Risk Manager. In this role, you’ll help ensure that internal teams are operating within all required financial regulations and company policies. You’ll partner closely with leadership to monitor risk, support compliance initiatives, and conduct in‑office reviews across multiple locations. Key Responsibilities
Monitor and review communications, transactions, and activities to ensure compliance Conduct periodic audits, file reviews, and in‑person branch visits Partner with advisors and internal teams to reinforce policies and best practices Maintain accurate compliance records and documentation Identify and address potential risks or policy gaps Support ongoing compliance programs and regulatory updates Provide guidance on proper procedures and documentation requirements Requirements
5+ years of experience in compliance, risk, or financial services Strong understanding of regulatory environments (banking or investment‑related) Bachelor’s degree required Licensing Requirements
Active FINRA SIE and Series 7 Active Series 63 or 66 Additional licenses (Series 24, 9/10, 4, or 53) are a plus or will be required within the first few months (sponsored by the company).
#J-18808-Ljbffr
Phoenix, AZ Compensation:
Up to $100,000 salary, depending on experience Vaco has partnered with a well‑established financial institution to hire a Compliance & Risk Manager. In this role, you’ll help ensure that internal teams are operating within all required financial regulations and company policies. You’ll partner closely with leadership to monitor risk, support compliance initiatives, and conduct in‑office reviews across multiple locations. Key Responsibilities
Monitor and review communications, transactions, and activities to ensure compliance Conduct periodic audits, file reviews, and in‑person branch visits Partner with advisors and internal teams to reinforce policies and best practices Maintain accurate compliance records and documentation Identify and address potential risks or policy gaps Support ongoing compliance programs and regulatory updates Provide guidance on proper procedures and documentation requirements Requirements
5+ years of experience in compliance, risk, or financial services Strong understanding of regulatory environments (banking or investment‑related) Bachelor’s degree required Licensing Requirements
Active FINRA SIE and Series 7 Active Series 63 or 66 Additional licenses (Series 24, 9/10, 4, or 53) are a plus or will be required within the first few months (sponsored by the company).
#J-18808-Ljbffr