Compliance Officer, Finance & Banking
Job in
Buckeye, Maricopa County, Arizona, 85326, USA
Listed on 2026-09-30
Listing for:
Blacklock Group
Full Time
position Listed on 2026-09-30
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
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
- 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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