Job Description
Join our award-winning financial institution as a Senior Compliance Officer and lead regulatory excellence in the heart of Indianapolis. We're seeking a detail-driven professional to safeguard our operations while driving innovation in compliance strategy. Enjoy competitive compensation, comprehensive benefits, and a collaborative culture where your expertise makes tangible impact.
Responsibilities
- Develop and implement robust compliance programs aligned with federal (FINRA, SEC, CFPB) and state regulations
- Conduct risk assessments and internal audits for financial products and services
- Train staff on regulatory requirements and emerging compliance trends
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and business units on policy development and updates
- Monitor regulatory changes and ensure organizational adaptation
- Prepare regulatory filings and management reports
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7, 63, and 24 licenses (or equivalent regulatory knowledge)
- Expertise in AML, BSA, and anti-fraud regulations
- Strong analytical and problem-solving abilities
- Advanced proficiency in compliance management software
- Excellent written/verbal communication and presentation skills
- Proven track record in regulatory reporting and risk mitigation