Associate Risk and Compliance Director- Banking!

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. Suppo...