Job Description
Join our dynamic team as an Immediate Hire Compliance Officer in Indianapolis! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks across our financial operations. This is a high-impact role offering competitive compensation, comprehensive benefits, and rapid onboarding. If you're passionate about compliance excellence and ready to start immediately, apply today!
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, state laws) to update compliance frameworks
- Conduct internal audits and risk assessments for financial products/services
- Develop and implement compliance policies/procedures with department heads
- Train staff on regulatory requirements and best practices
- Manage compliance documentation and reporting for executive leadership
- Investigate potential violations and recommend corrective actions
- Collaborate with legal counsel on compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services
- FINRA Series 63/65/66 licenses (or ability to obtain within 30 days)
- Expert knowledge of federal/state banking regulations
- Advanced proficiency in compliance software (e.g., NASD, Bloomberg)
- Strong analytical and problem-solving abilities
- Exceptional written/verbal communication skills