Job Description
Join our award-winning financial services leader in the heart of Saint Paul's vibrant downtown! As a Senior Compliance Officer, you'll drive regulatory excellence for our $2B asset portfolio. We offer a hybrid work model, comprehensive benefits including 4% 401k match, and career growth opportunities in one of America's fastest-growing compliance hubs.
Our team values innovation in regulatory technology and fosters a culture of continuous learning. Enjoy competitive perks like flexible scheduling, professional development stipends, and quarterly team-building events in the Twin Cities' premier business district.
Responsibilities
- Develop and implement enterprise-wide compliance programs aligned with FINRA, SEC, and state regulations
- Lead internal audits and regulatory examinations, reporting findings to executive leadership
- Monitor legislative changes and update compliance policies within 30-day response windows
- Train 50+ employees annually on AML, KYC, and anti-fraud protocols
- Collaborate with legal and risk teams to mitigate regulatory exposure
- Manage compliance reporting dashboard with real-time metrics for board presentations
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 7+ years compliance experience in financial services or fintech
- Certified Regulatory Compliance Manager (CRCM) or equivalent designation
- Expertise in Reg BI, Dodd-Frank, and Minnesota state banking regulations
- Advanced proficiency in compliance software (e.g., Actimize, Nasdaq Trade Surveillance)
- Demonstrated success leading cross-functional compliance initiatives
- Strong analytical skills with data-driven decision-making experience