Job Description
Join our award-winning financial services firm as a Senior Compliance Officer in Minneapolis, MN. This high-impact role offers a competitive salary, comprehensive benefits, and the opportunity to shape regulatory strategy for a Fortune 500 company. We're seeking a detail-oriented professional with expertise in financial regulations to ensure adherence to federal and state laws while driving innovation in compliance frameworks. Enjoy a hybrid work model with downtown office perks and professional development opportunities.
Responsibilities
- Develop and implement robust compliance programs aligned with FINRA, SEC, and CFPB regulations
- Conduct risk assessments and internal audits across investment products and client interactions
- Lead investigations of compliance violations and recommend corrective actions
- Train 100+ employees on regulatory updates and ethical standards
- Collaborate with legal and audit teams to mitigate enterprise risks
- Monitor regulatory changes and advise leadership on policy implications
- Manage compliance reporting for senior executives and board committees
Qualifications
- Bachelor’s degree in Finance, Law, or related field; advanced degree preferred
- 7+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or CCEP designation
- Expertise in AML, BSA, and FINRA regulations
- Proven track record of designing compliance frameworks for financial institutions
- Strong analytical skills with data-driven decision-making experience
- Exceptional communication and stakeholder management abilities