Job Description
Join our award-winning compliance team as a Senior Compliance Officer and lead critical regulatory initiatives in the heart of Minnesota's financial hub. We're seeking a detail-oriented professional to drive our compliance framework forward while ensuring adherence to federal and state regulations. Enjoy a competitive salary package, comprehensive benefits, and opportunities for career growth in a dynamic, fast-paced environment. Apply today to become an integral part of our mission to maintain ethical standards and operational excellence.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with FINRA, SEC, and state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Train staff on regulatory changes and compliance protocols through targeted workshops
- Investigate potential violations and recommend corrective actions to senior leadership
- Collaborate with legal and audit teams to ensure regulatory filings are accurate and timely
- Stay updated on evolving compliance legislation (e.g., Dodd-Frank, AML, BSA)
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 federal/state regulations (FINRA, SEC, Minnesota Statutes)
- Certifications (CRCM, CAMS, CCEP) highly desirable
- Exceptional analytical skills with attention to detail
- Proven experience managing compliance audits and investigations
- Excellent communication skills for stakeholder training and reporting