Job Description
Join our dynamic compliance team as a Remote-Friendly Compliance Officer in Minneapolis, MN! We're seeking a detail-oriented professional to ensure regulatory adherence across financial operations while enjoying flexible remote work options. This hybrid role combines in-office collaboration with fully remote days, offering exceptional work-life balance in Minnesota's vibrant business hub.
You'll drive our compliance framework through rigorous monitoring, policy development, and stakeholder collaboration. Perfect for candidates seeking impactful work without geographical constraints – apply today to shape the future of ethical finance!
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and federal regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Train staff on regulatory updates and policy changes (20% travel to Minneapolis office)
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and operations teams on compliance documentation
- Stay current on industry regulations via continuous professional development
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services or fintech
- FINRA Series 63/65/66 licenses or willingness to obtain
- Strong knowledge of AML, KYC, and anti-fraud regulations
- Experience with compliance software (e.g., ComplyAdvantage, Unit21)
- Exceptional analytical and communication skills
- Certified Regulatory Compliance Manager (CRCM) designation a plus