Job Description
Join our award-winning financial services firm as a Senior Compliance Officer and shape the future of regulatory excellence in Indianapolis. We offer a competitive compensation package, comprehensive benefits, and opportunities for career advancement in a dynamic environment. As a key member of our risk management team, you'll ensure adherence to federal regulations while driving innovation in compliance strategies.
Why Work With Us?
• Top-tier compensation with performance bonuses
• 401(k) with 6% employer match
• Tuition reimbursement program
• Hybrid work schedule (3 days in-office)
• State-of-the-art downtown office with skyline views
Responsibilities
- Develop and implement comprehensive compliance programs adhering to FINRA, SEC, and state regulations
- Conduct internal audits and risk assessments for investment products and client interactions
- Lead regulatory reporting initiatives for AML, KYC, and anti-fraud protocols
- Train staff on compliance policies and regulatory updates
- Collaborate with legal team on regulatory changes and policy revisions
- Manage compliance investigations and remediation processes
- Represent firm in regulatory examinations and audits
Qualifications
- Bachelor's degree in Finance, Business, or Law (Master's preferred)
- 7+ years compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) designation required
- Deep knowledge of FINRA, SEC, and Indiana state regulations
- Experience leading compliance programs for firms with $1B+ AUM
- Strong analytical skills with proficiency in compliance software (e.g., ComplySci)
- Exceptional communication and stakeholder management abilities