Job Description
Join our award-winning financial services firm in Indianapolis as a Compliance Officer and receive a $15,000 sign-on bonus! We're seeking a detail-oriented professional to ensure regulatory adherence and drive ethical practices across our operations. This hybrid role offers competitive compensation, comprehensive benefits, and growth opportunities in a dynamic industry.
Responsibilities
- Monitor and interpret federal/state regulations (SEC, FINRA, etc.) to ensure organizational compliance
- Conduct internal audits and risk assessments for financial products and processes
- Develop/update compliance policies, procedures, and training materials
- Collaborate with legal, operations, and sales teams to implement compliance protocols
- Investigate and resolve compliance violations through corrective action plans
- Prepare regulatory reports and maintain documentation for audits
- Stay current on industry trends through continuous education
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance/regulatory experience in financial services
- FINRA Series 63/65/66 or equivalent certifications required
- Strong knowledge of AML, KYC, and SEC regulations
- Exceptional analytical and problem-solving skills
- Advanced proficiency in compliance software and reporting tools
- Proven ability to communicate complex concepts to stakeholders
- Certified Regulatory Compliance Manager (CRCM) a plus