Description

We are in search of a Legal Compliance Officer to be stationed in Denver, Colorado. The role involves working in the financial industry, with a focus on ensuring legal compliance and adherence to the SEC guidelines. This position is a short-term contract employment opportunity where you will be required to work in-office part of the week and remotely for the rest. The role involves a blend of compliance duties in the investment/financial industry, with a specific focus on marketing rule experience.

Responsibilities:

• Analyzing and implementing compliance programs in line with financial industry regulations and SEC guidelines

• Monitoring and managing the processing of customer credit applications to ensure accuracy and efficiency

• Maintaining precise records of customer credit information and handling any related inquiries

• Keeping a close eye on customer credit accounts and initiating appropriate action for overdue payments

• Utilizing software and management systems like ATS - Asynchronous Transfer Mode, LexisNexis, and Microsoft Office Suites for efficient workflow

• Applying knowledge in AML - Anti Money Laundering to ensure the organization's practices are compliant

• Conducting regular audits to ensure all operations are in line with legal requirements

• Overseeing compliance functions and ensuring all activities are in accordance with established legal and company standards

• Assisting in the creation and maintenance of compliance documentation

• Utilizing Microsoft Excel for data management and reporting purposes.

Requirements • A minimum of two years of experience in a role as a Compliance Officer or similar

• Proficiency in ATS - Asynchronous Transfer Mode

• Familiarity with LexisNexis software

• Proven experience with various management systems

• Advanced skills in Microsoft Excel and other Microsoft Office Suites applications

• Knowledge of AML - Anti Money Laundering procedures and protocols

• Experience with auditing procedures

• Strong understanding of compliance and compliance functions

• Excellent documentation skills

• Ability to work independently and collaboratively within a team

• Excellent communication skills, both written and verbal

• Critical thinking and problem-solving skills

• Ability to maintain confidentiality and handle sensitive information appropriately

• Strong ethical standards and high levels of integrity.

Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.

Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more.

All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.

© 2024 Robert Half. Robert Half is not a law firm and does not provide legal representation. Robert Half project lawyers do not constitute a law firm among themselves. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use (https:///www.roberthalf.com/us/en/terms) .