Job Description
Join our elite compliance team at Global Financial Partners, a leading financial institution in the heart of Saint Paul's thriving business district. We're seeking a highly skilled Senior Compliance Officer to drive regulatory excellence and safeguard our organization in a dynamic, high-stakes environment. Enjoy competitive compensation, comprehensive benefits, and the opportunity to make a significant impact in the financial compliance landscape.
Responsibilities
- Develop, implement, and monitor robust compliance programs aligned with federal regulations (FINRA, SEC, CFTC) and industry best practices
- Conduct in-depth risk assessments and regulatory audits to identify compliance gaps and recommend corrective actions
- Lead cross-functional investigations into potential violations and prepare detailed regulatory reporting
- Advise senior leadership on regulatory changes and their strategic implications for business operations
- Train employees on compliance policies and procedures to foster a culture of regulatory awareness
- Manage relationships with regulatory bodies and represent the organization during examinations
Qualifications
- Bachelor's degree in Finance, Law, Business, or related field (Master's or JD preferred)
- 7+ years of compliance experience in financial services with proven regulatory expertise
- FINRA Series 7, 24, 27, or 53 certifications required
- Deep knowledge of Dodd-Frank Act, AML regulations, and SEC reporting requirements
- Exceptional analytical skills with experience in regulatory risk modeling and data analysis
- Strong leadership abilities with experience managing compliance teams and projects
- Excellent written/verbal communication skills for complex regulatory documentation