Job Description
Join our dynamic compliance team at Nexus Financial Group, a leading financial services firm headquartered in Saint Paul, MN. We're seeking a meticulous Compliance Officer to ensure adherence to federal, state, and industry regulations while safeguarding our organization's integrity. This hybrid role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a collaborative environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct thorough risk assessments and internal audits to identify compliance gaps
- Prepare detailed regulatory reports and documentation for executive review
- Train staff on updated compliance policies and regulatory changes
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and risk management teams on compliance initiatives
- Stay current with evolving financial regulations through continuous education
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services or regulated industry
- FINRA Series 7, 24, or 63/66 certifications strongly preferred
- Expert knowledge of federal/state regulations (e.g., Dodd-Frank, AML)
- Advanced analytical and problem-solving abilities
- Exceptional written/verbal communication skills for stakeholder engagement
- Proficiency in compliance software and MS Office Suite
- Proven track record of managing complex compliance projects