Job Description
Join our dynamic team as a Compliance Officer in Saint Paul, MN, where you'll safeguard regulatory integrity while driving ethical business practices. This pivotal role ensures adherence to federal regulations (FINRA, SEC, CFTC) and internal policies across our financial services operations. You'll collaborate with legal, audit, and senior leadership to implement robust compliance frameworks, conduct risk assessments, and spearhead training initiatives. Our culture emphasizes continuous learning, professional growth, and work-life balance in Minnesota's vibrant capital city.
Responsibilities
- Develop and maintain compliance programs aligned with evolving regulatory requirements
- Conduct periodic audits and risk assessments to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Deliver comprehensive compliance training to staff across departments
- Act as primary liaison with regulatory bodies during examinations
- Monitor legislative changes and update policies accordingly
- Prepare detailed compliance reports for executive stakeholders
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 63, 65, or 26 licenses required
- Strong knowledge of SEC, FINRA, and AML regulations
- Advanced proficiency in compliance software (e.g., Certify, LogicGate)
- Exceptional analytical and investigative skills
- Proven ability to communicate complex regulations to diverse audiences