Job Description
Join our elite compliance team in Minneapolis and become a guardian of regulatory excellence. We seek a Senior Compliance Officer to design, implement, and monitor robust compliance frameworks within the dynamic financial services sector. This high-impact role offers unparalleled career growth and competitive compensation.
Our commitment to innovation and integrity creates an environment where compliance professionals thrive. Enjoy hybrid work flexibility, comprehensive benefits, and opportunities to shape industry standards while safeguarding our organization's reputation.
Responsibilities
- Develop and maintain comprehensive compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Investigate regulatory violations and implement corrective action plans
- Train staff on compliance policies and regulatory updates
- Collaborate with legal and business teams on regulatory changes
- Prepare regulatory filings and management reports
- Stay current on emerging compliance technologies and best practices
Qualifications
- Bachelor's degree in Finance, Law, or related field (MBA/JD preferred)
- 7+ years compliance experience in financial services
- FINRA Series 7, 24, and 63 licenses required
- Proven expertise in AML, KYC, and Dodd-Frank regulations
- Advanced proficiency in compliance management software (e.g., ComplyAdvantage)
- Strong analytical and problem-solving skills
- Excellent communication and presentation abilities