Job Description
Join our dynamic team as a Compliance Officer in Saint Paul, MN! We're seeking a proactive professional to safeguard our organization's regulatory integrity. You'll develop compliance frameworks, conduct risk assessments, and ensure adherence to FINRA, SEC, and federal regulations. Enjoy a competitive salary, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Responsibilities
- Develop and implement compliance policies aligned with regulatory requirements
- Conduct internal audits and risk assessments for financial operations
- Monitor regulatory changes and advise leadership on compliance implications
- Deliver compliance training to staff across all departments
- Investigate and resolve compliance violations and escalations
- Prepare comprehensive reports for senior management and regulators
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- FINRA Series 24 or 26 certification required
- Expert knowledge of SEC regulations and AML protocols
- Strong analytical skills with attention to detail
- Exceptional communication and presentation abilities
- Experience with compliance management software (e.g., MetricStream)
- Ability to thrive in a fast-paced, regulated environment