Job Description
Join our dynamic compliance team in Saint Paul, MN, where we prioritize your success with state-of-the-art equipment and professional growth opportunities. As a Compliance Officer, you'll safeguard regulatory integrity while leveraging our provided advanced tools including encrypted laptops, specialized compliance software licenses, and ergonomic office equipment. We offer comprehensive benefits, flexible work arrangements, and ongoing training to support your career development in a collaborative environment.
Responsibilities
- Monitor and interpret regulatory changes affecting financial operations and reporting
- Conduct internal audits using provided compliance software and data analysis tools
- Develop and implement compliance policies and procedures
- Train staff on regulatory requirements and ethical standards
- Prepare detailed compliance reports for executive stakeholders
- Collaborate with legal and finance teams on risk mitigation strategies
- Manage compliance documentation using provided digital record-keeping systems
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance/regulatory experience
- Strong knowledge of FINRA, SEC, and federal banking regulations
- Certified Compliance & Ethics Professional (CCEP) preferred
- Proficient in MS Office Suite and compliance software (training provided)
- Exceptional analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Ability to work independently with minimal supervision