Job Description
Join Minneapolis Financial Group, a leading financial services firm, as a Senior Compliance Officer. This high-impact role offers a competitive salary package, comprehensive benefits, and the opportunity to shape our regulatory framework in a dynamic industry environment. You'll work with executive leadership to ensure adherence to federal and state regulations while driving innovation in compliance strategies. Our Minneapolis headquarters provides a collaborative culture with career advancement opportunities and a commitment to professional development.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits for financial products and services
- Lead regulatory reporting initiatives and respond to examiner inquiries
- Train staff on compliance policies and regulatory updates
- Collaborate with legal and risk management teams on compliance initiatives
- Monitor legislative changes and advise on operational impacts
- Maintain compliance documentation and audit trails
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 7+ years of compliance experience in financial services
- Certification as CRCM or CCEP preferred
- Expert knowledge of FINRA, SEC, and Minnesota state regulations
- Strong analytical skills with attention to detail
- Experience leading compliance audits and regulatory examinations
- Excellent written and verbal communication skills
- Ability to thrive in a fast-paced, regulated environment