Associate Risk and Compliance Director

Vaco Phoenix is seeking an Associate Compliance Director for a leading banking organization in Phoenix, AZ. This role is responsible for overseeing the bank’s risk and compliance programs, including sales practices, and ensuring adherence to FINRA and SEC regulations across all relevant teams.

The ideal candidate must hold a valid FINRA SIE Series 7, and either a Series 63 or Series 66 license.

This is a fully onsite position. Compensation is up to $100,000 per year, depending on experience.

Job Duties

• Perform review and supervision of multiple systems, including flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems.

• Complete on-site inspections, client file reviews, and compliance related interviews of Financial Representatives and their staff.

• Help maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA.

• Support Financial Representatives and field staff, related to risk management, regulatory change, policies and procedures, and documentation requirements.

• Support supervisory plans put in place to address non-standard behavior or to address sales practice concerns.

• Support the direction of the Local Network Office compliance program.

Required Qualifications

• Bachelor’s degree

• Active and valid FINRA Series SIE, 7

• Active and valid FINRA Series 63 or 66

Benefits include medical, dental, and vision insurance, discretionary bonuses, and participation in the company’s 401(k) retirement plan.