Job Description
Join Fort Wayne Financial Solutions as a Compliance Officer and enjoy the stability of weekly paychecks! We're seeking a detail-oriented professional to ensure our operations adhere to federal and state regulations. With a strong commitment to ethical practices and growth opportunities, our team thrives in a collaborative environment where your expertise directly impacts client trust and organizational integrity. Benefits include: health insurance, 401(k) matching, and professional development stipends.
Responsibilities
- Monitor regulatory changes and implement updated compliance protocols
- Conduct internal audits to assess adherence to FINRA/SEC regulations
- Develop and maintain compliance documentation and training materials
- Collaborate with legal counsel on regulatory investigations
- Prepare detailed compliance reports for executive leadership
- Lead risk assessment initiatives for new financial products
- Train staff on compliance policies and ethical standards
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- FINRA Series 63/65 or 66 license required
- Proficiency with compliance software (e.g., OnBase, ComplianceEase)
- Strong knowledge of AML, KYC, and Dodd-Frank regulations
- Exceptional analytical and problem-solving abilities
- Excellent written and verbal communication skills