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Compliance Officer, Finance & Banking

Job in Buckeye, Maricopa County, Arizona, 85326, USA
Listing for: Blacklock Group
Full Time position
Listed on 2026-09-30
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Compliance
Salary/Wage Range or Industry Benchmark: 120000 - 180000 USD Yearly USD 120000.00 180000.00 YEAR
Job Description & How to Apply Below

I’m working with an Investment Firm in Arizona that is looking to add a Compliance Officer to its growing team.

This is a hands-on role reporting directly into the CCO, with exposure across the firm’s wealth management and investment activities.

The role will cover:
  • Compliance monitoring, testing and surveillance
  • Investment Advisers Act / SEC regulatory requirements
  • Alternative investments and private/pooled investment vehicles
  • Client and investment management agreements
  • Code of Ethics administration
  • Third-party sub-adviser & vendor oversight
  • Electronic communications and social media review
  • Policies, procedures and supervisory controls
  • Supporting SEC examinations and the annual 206(4)-7 compliance review
Ideal background:
  • Senior compliance experience within an RIA / investment adviser
  • Comfortable working closely with investment and operational teams
  • Strong attention to detail and ability to operate independently

The Compliance Officer role at Blacklock Group is now open for applications in AZ, United States.

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