Job Description
Join our award-winning compliance team in Minneapolis and launch your career in regulatory oversight! We're seeking motivated individuals for our comprehensive paid training program designed to transform you into a certified Compliance Officer. No prior experience required – we provide all necessary certifications and hands-on mentorship from industry veterans. Enjoy competitive benefits, flexible scheduling, and a clear career progression path into senior compliance roles. Our collaborative environment supports work-life balance with hybrid options and professional development stipends.
Responsibilities
- Monitor regulatory changes and implement compliance protocols across financial products
- Conduct internal audits and risk assessments for adherence to FINRA/SEC regulations
- Develop training materials and conduct compliance education for staff
- Investigate and resolve compliance violations with documented corrective actions
- Collaborate with legal and audit teams on regulatory reporting
- Maintain compliance documentation in accordance with audit standards
Qualifications
- Bachelor's degree in Business, Finance, or related field (or equivalent experience)
- Strong analytical skills with attention to detail
- Excellent written and verbal communication abilities
- Ability to handle confidential information with discretion
- Basic proficiency in Microsoft Office Suite
- Willingness to obtain FINRA Series 65/66 certification (training provided)
- US citizenship or legal authorization to work in the US