Job Description
Join our dynamic compliance team as a Remote-Friendly Compliance Officer in Minneapolis! We're seeking a detail-oriented professional to safeguard our organization's integrity while enjoying flexible remote work options. You'll be pivotal in navigating complex regulatory landscapes and fostering a culture of ethical excellence. This hybrid role combines the autonomy of remote work with collaborative in-office sessions in our vibrant downtown Minneapolis headquarters. What you'll love: Competitive compensation, comprehensive benefits package, career growth opportunities, and the freedom to excel from anywhere in Minnesota.
Responsibilities
- Develop, implement, and maintain robust compliance programs aligned with federal/state regulations (FINRA, SEC, etc.)
- Conduct risk assessments and internal audits to identify compliance gaps
- Provide expert guidance to stakeholders on regulatory requirements and policy interpretation
- Investigate potential violations and recommend corrective actions
- Stay updated on evolving compliance legislation through continuous research
- Collaborate with legal and executive teams on compliance strategy
- Prepare comprehensive compliance reports for leadership and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Strong knowledge of FINRA, SEC, and Minnesota state regulations
- Certified Compliance & Ethics Professional (CCEP) certification required
- Exceptional analytical and problem-solving abilities
- Proven experience with compliance software (e.g., Compliance.ai, MetricStream)
- Excellent communication skills with ability to train non-compliance staff
- Ability to thrive in remote work environments with minimal supervision