Associate Risk and Compliance Director- Banking! POST NUMBER: 474639

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 Include:

• Perform review and supervision of multiple systems, including, but not limited to, 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:

• Bachelor’s degree
• Active and valid FINRA Series SIE, 7
• Active and valid FINRA Series 63 or 66.

Determining compensation for this role (and others) at Vaco/Highspring depends upon a wide array of factors including but not limited to the individual’s skill sets, experience and training, licensure and certifications, office location and other geographic considerations, as well as other business and organizational needs. With that said, as required by local law in geographies that require salary range disclosure, Vaco/Highspring notes the salary range for the role is noted in this job posting. The individual may also be eligible for discretionary bonuses, and can participate in medical, dental, and vision benefits as well as the company’s 401(k) retirement plan. Additional disclaimer: Unless otherwise noted in the job description, the position Vaco/Highspring is filing for is occupied. Please note, however, that Vaco/Highspring is regularly asked to provide talent to other organizations. By submitting to this position, you are agreeing to be included in our talent pool for future hiring for similarly qualified positions. Submissions to this position are subject to the use of AI to perform preliminary candidate screenings, focused on ensuring minimum job requirements noted in the position are satisfied. Further assessment of candidates beyond this initial phase within Vaco/Highspring will be otherwise assessed by recruiters and hiring managers. Vaco/Highspring does not have knowledge of the tools used by its clients in making final hiring decisions and cannot opine on their use of AI products.