Job Description
Join our dynamic team as a Compliance Officer in Minneapolis and play a critical role in safeguarding our organization's regulatory integrity. We're urgently seeking a detail-oriented professional to ensure adherence to federal and state regulations while driving ethical business practices. This is your opportunity to make an immediate impact in a fast-paced financial services environment with competitive benefits and growth opportunities.
Responsibilities
- Monitor and interpret regulatory changes (SEC, FINRA, CFPB) to update compliance policies
- Conduct internal audits and risk assessments across all departments
- Develop and deliver compliance training programs to 200+ employees
- Investigate and resolve compliance violations with actionable corrective plans
- Prepare regulatory reports and maintain documentation for audits
- Collaborate with legal and executive teams on compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, or Law (Master's preferred)
- 5+ years compliance experience in financial services
- FINRA Series 63/65/66 licenses required
- Advanced knowledge of AML, BSA, and anti-fraud regulations
- Proficient in compliance software (e.g., MetricStream, Adenza)
- Strong analytical and problem-solving abilities
- Excellent written/verbal communication skills