Job Description
Join our award-winning financial services firm as a Senior Compliance Officer and lead our regulatory compliance initiatives in the thriving Minneapolis market. This high-impact role offers competitive compensation, comprehensive benefits, and opportunities for career advancement. You'll be instrumental in ensuring adherence to federal and state regulations while shaping our compliance culture.
Responsibilities
- Develop and implement compliance policies aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits across all business units
- Train 50+ employees on regulatory requirements and ethical standards
- Manage regulatory reporting and examinations with state and federal authorities
- Lead AML/BSA monitoring investigations and suspicious activity reporting
- Collaborate with legal and executive teams on compliance strategy
- Stay current on evolving financial regulations through continuous research
Qualifications
- Bachelor's degree in Finance, Law, or related field (MBA/JD preferred)
- 7+ years of compliance experience in financial services
- FINRA Series 24 or 27 certification required
- Expert knowledge of Dodd-Frank, AML, and SEC regulations
- Proven experience leading regulatory examinations
- Strong analytical and risk assessment capabilities
- Exceptional written/verbal communication skills
- Experience with compliance software (e.g., Actimize, NICE Actimize)