Job Description
Join our award-winning compliance team with comprehensive paid training! Regulatory Excellence Group is seeking motivated individuals to become Compliance Officers in our Saint Paul headquarters. No prior experience required – we invest in your success through our 12-week paid certification program. Work with Fortune 500 clients in a dynamic environment where your growth is prioritized. Enjoy competitive benefits, mentorship from industry experts, and clear career progression paths. Apply today to transform your career in one of Minnesota's most respected compliance firms.
Responsibilities
- Monitor regulatory changes and implement compliance policies for financial services clients
- Conduct risk assessments and internal audits ensuring adherence to FINRA/SEC regulations
- Prepare detailed compliance reports for executive stakeholders and regulatory bodies
- Develop and deliver training programs on AML, KYC, and Dodd-Frank requirements
- Collaborate with legal teams to resolve compliance violations and implement corrective actions
- Manage compliance documentation and maintain audit-ready record systems
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- Strong analytical skills with attention to detail and regulatory awareness
- Excellent written and verbal communication abilities
- Proficiency in Microsoft Office Suite and compliance software (training provided)
- Ability to obtain FINRA Series 63/65 licenses within first 6 months (paid for by company)
- Proactive problem-solving mindset with ethical decision-making skills
- U.S. work authorization and clean background check