Job Description
Join our dynamic team as a Compliance Officer in Indianapolis and make an immediate impact! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. This urgent opening offers a competitive salary package, comprehensive benefits, and the opportunity to shape our compliance framework. Apply today to start your career with a forward-thinking leader committed to excellence and integrity.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, state laws) to update compliance policies
- Conduct internal audits and risk assessments across all business units
- Develop and deliver compliance training programs for 200+ employees
- Investigate and resolve compliance violations with corrective action plans
- Prepare regulatory reports and maintain audit documentation
- Collaborate with legal and operations teams on compliance initiatives
- Advise senior leadership on emerging regulatory risks
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services
- FINRA Series 63/65/66 licenses required
- Advanced knowledge of AML, KYC, and BSA regulations
- Strong analytical skills with attention to detail
- Excellent written communication for policy development
- Proficiency in compliance software (e.g., ComplyAdvantage, Nasdaq TradeLog)
- Ability to thrive in deadline-driven environments