Job Description
Join Fort Wayne Financial Services as a Compliance Officer and become a guardian of regulatory excellence in our dynamic financial institution. We're urgently seeking a dedicated professional to ensure adherence to federal and state regulations while driving ethical business practices. In this critical role, you'll collaborate with cross-functional teams to implement compliance frameworks, conduct risk assessments, and maintain our sterling reputation in Fort Wayne's growing financial sector. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Responsibilities
- Develop, implement, and monitor compliance programs adhering to FINRA, SEC, and state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Prepare and submit regulatory reports with meticulous attention to detail
- Train staff on compliance policies and regulatory updates
- Investigate and resolve compliance violations through root cause analysis
- Collaborate with legal counsel on regulatory changes and policy updates
- Maintain accurate compliance documentation and audit trails
Qualifications
- Bachelor's degree in Finance, Business, or related field (required)
- 3+ years of compliance experience in financial services (preferred)
- Certified Regulatory Compliance Manager (CRCM) designation (strongly preferred)
- Expertise in FINRA, SEC, and Indiana state regulations
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills
- Proficiency with compliance management software (e.g., ComplianceEase, MetricStream)
- Ability to thrive in a fast-paced, deadline-driven environment