Job Description
Join our award-winning Compliance team in Minneapolis with a comprehensive paid training program designed to launch your career in regulatory oversight. As a Compliance Officer, you'll safeguard our organization's integrity while receiving expert mentorship and structured learning opportunities. We invest in talent through 12 weeks of intensive training covering financial regulations, risk management frameworks, and ethical practices. Our modern downtown office offers collaborative workspaces, competitive benefits, and clear career advancement paths.
Responsibilities
- Monitor regulatory changes and implement compliance procedures across financial operations
- Conduct risk assessments and internal audits to ensure adherence to FINRA, SEC, and state regulations
- Develop and deliver compliance training programs to 200+ employees
- Investigate potential violations and prepare detailed investigation reports
- Collaborate with legal and audit teams to resolve compliance issues
- Maintain accurate compliance documentation and reporting systems
- Advise senior leadership on emerging regulatory risks and mitigation strategies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 0-2 years of compliance/regulatory experience (internships welcome)
- Strong analytical skills with attention to detail
- Excellent written and verbal communication abilities
- Ability to interpret complex financial regulations (FINRA, SEC, etc.)
- Proficiency in Microsoft Office Suite and compliance software
- Professional certification eligibility (CRCM, CAMS preferred)
- U.S. work authorization required