Job Description
Join our dynamic compliance team in Fort Wayne and become a guardian of regulatory excellence! We're urgently seeking a detail-oriented Compliance Officer to ensure adherence to federal, state, and industry regulations. This role offers competitive compensation, comprehensive benefits, and the opportunity to impact organizational integrity in a thriving Midwestern hub.
Why Join Us? We offer professional development opportunities, a collaborative work environment, and the chance to work with Fortune 500 clients. Our Fort Wayne office combines Midwestern charm with modern amenities.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and industry regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory updates and best practices through workshops and documentation
- Investigate and resolve compliance violations with corrective action plans
- Stay current on regulatory changes through continuous research and networking
- Collaborate with legal and audit teams to ensure cohesive compliance strategies
Qualifications
- Bachelor's degree in Finance, Business Administration, or related field required
- 3+ years of compliance experience in financial services or regulated industry
- Certified Compliance & Ethics Professional (CCEP) designation preferred
- Proficiency with compliance management software (e.g., Compliance.ai, MetricStream)
- Strong knowledge of FINRA rules and SEC regulations
- Exceptional analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Ability to handle sensitive information with discretion and professionalism