Job Description
Join our dynamic team as a Compliance Officer in Fort Wayne, IN! We're urgently seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks across our financial operations. This critical role offers competitive compensation, career growth opportunities, and the chance to make a tangible impact in a thriving Midwestern business hub. Apply today to become part of our commitment to ethical excellence and regulatory integrity.
Responsibilities
- Develop, implement, and monitor compliance programs adhering to federal/state regulations (FINRA, SEC, etc.)
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory requirements and ethical standards
- Investigate potential violations and recommend corrective actions
- Stay updated on industry regulatory changes and policy updates
- Collaborate with legal and finance teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance/regulatory experience in financial services
- Certified Regulatory Compliance Manager (CRCM) preferred
- Strong knowledge of FINRA, SEC, and Indiana state regulations
- Exceptional analytical and problem-solving abilities
- Proficient in compliance software and data analysis tools
- Excellent written/verbal communication skills
- Ability to handle confidential information with discretion