Associate Director of Compliance & Risk (Financial Services) POST NUMBER: 473941

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).

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.