Job Description
Immediate Hire Opportunity for Compliance Officer in Indianapolis! Join our dynamic financial services firm at the heart of Indiana's thriving business district. We're seeking a meticulous Compliance Officer to safeguard our operations while driving innovation in regulatory adherence. Enjoy a competitive salary, comprehensive benefits, and the chance to make an immediate impact in a collaborative environment.
Why Apply Today? This is your chance to join a forward-thinking organization where compliance expertise is valued and career growth is accelerated. With our streamlined hiring process, you could start within days. Don't miss this opportunity to elevate your career in Indianapolis' booming financial sector.
Responsibilities
- Monitor and interpret federal/state regulations (SEC, FINRA, CFPB) to ensure organizational compliance
- Develop/implement internal policies and procedures aligned with regulatory requirements
- Conduct risk assessments and internal audits for financial operations and client interactions
- Prepare regulatory reports and maintain accurate compliance documentation
- Train staff on compliance protocols and regulatory updates
- Investigate potential compliance breaches and recommend corrective actions
- Collaborate with legal and executive teams on compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field required
- 3+ years of compliance/regulatory experience in financial services
- FINRA Series 63/65 or 66 license preferred
- Proficiency with compliance management software (e.g., Compliance.ai, OnBase)
- Strong analytical skills with attention to detail
- Excellent written/verbal communication abilities
- Ability to thrive in fast-paced, deadline-driven environments
- Experience with SOX and AML regulations