Job Description
Are you a detail-oriented professional passionate about regulatory frameworks and risk management?
Compliance First Group is currently seeking a highly skilled Compliance Officer to join our dynamic team in Saint Paul, MN. In this pivotal role, you will ensure our organization adheres to all applicable laws, regulations, and internal policies. We offer a competitive salary, comprehensive benefits package, and a collaborative work environment that fosters professional growth.
Why Join Us?
- Competitive salary and performance bonuses.
- Comprehensive health, dental, and vision insurance.
- Retirement savings plan with company match.
- Professional development and continuing education opportunities.
Responsibilities
- Monitor and audit internal processes to ensure full adherence to federal and state regulations, including FINRA and SEC guidelines.
- Develop, implement, and maintain comprehensive compliance programs and internal policies to mitigate risk.
- Conduct regular risk assessments and prepare detailed compliance reports for senior management.
- Provide training and guidance to staff members on regulatory requirements and ethical standards.
- Investigate potential violations of company policy or law and recommend corrective actions.
- Coordinate with external auditors and regulatory bodies during inspections and examinations.
- Stay updated on changes in legislation and industry best practices.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field required.
- 3-5 years of proven experience in a compliance, risk management, or auditing role.
- Strong understanding of applicable laws, regulations, and internal controls.
- Excellent analytical, problem-solving, and critical thinking skills.
- Exceptional attention to detail with the ability to manage multiple competing priorities.
- Strong written and verbal communication skills, with the ability to present complex information clearly.
- Proficiency in Microsoft Office Suite and compliance management software.