Job Description
Join our dynamic team as a Remote-Friendly Compliance Officer and become a guardian of ethical excellence in the financial services industry. This hybrid role offers the flexibility to work remotely while maintaining a strong connection to our Minneapolis innovation hub. You'll design and implement compliance frameworks that protect our clients and ensure regulatory adherence across all operations. Ideal for proactive professionals who thrive in collaborative environments and are passionate upholding industry standards.
Responsibilities
- Develop and maintain comprehensive compliance programs aligned with FINRA, SEC, and federal regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare detailed reports for senior management and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Advanced knowledge of banking regulations and risk management frameworks
- Exceptional analytical and problem-solving abilities
- Strong written communication and documentation skills