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 in our financial services operations. This is a high-impact role offering competitive compensation, comprehensive benefits, and growth opportunities in a supportive environment. Apply today to become part of our commitment to excellence and integrity.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (e.g., FINRA, SEC, AML)
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on compliance policies, procedures, and regulatory updates
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and risk management teams on compliance initiatives
- Stay current on evolving regulatory landscapes and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and AML regulations
- Certified Compliance & Ethics Professional (CCEP) preferred
- Exceptional analytical and problem-solving skills
- Proficiency in compliance management software (e.g., RSA Archer, MetricStream)
- Excellent written/verbal communication abilities
- Ability to thrive in fast-paced, deadline-driven environments