Job Description
Are you a detail-oriented professional looking to lead the way in regulatory excellence? Horizon Financial Solutions is currently seeking a dedicated Compliance Officer to join our dynamic team in Indianapolis, Indiana.
We are proud to offer a $10,000 Sign-On Bonus for qualified candidates joining our firm. In this pivotal role, you will ensure our organization adheres to all applicable laws, regulations, and internal policies, mitigating risk while fostering a culture of integrity.
Join us in shaping the future of financial compliance in the Midwest.
Responsibilities
- Conduct regular internal audits and risk assessments to ensure compliance with federal and state regulations.
- Monitor changes in regulatory frameworks and implement necessary policy updates.
- Prepare and present detailed compliance reports to senior management and the board of directors.
- Lead training sessions and workshops to educate employees on compliance standards and ethical conduct.
- Investigate internal discrepancies and recommend corrective actions for potential violations.
- Coordinate with external auditors and regulatory bodies during examinations.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field.
- Minimum of 3-5 years of experience in compliance, risk management, or auditing.
- Strong knowledge of SEC regulations, FINRA rules, and Sarbanes-Oxley (SOX) compliance.
- Excellent analytical skills with a keen attention to detail.
- Strong written and verbal communication skills.
- Certification such as CFA, CPA, or CAMS is a plus.