Job Description
Join our elite compliance team at Nexus Financial Group, a leading Minneapolis-based financial services provider. We're seeking a highly motivated Senior Compliance Officer to drive regulatory excellence in a dynamic, high-stakes environment. This pivotal role offers exceptional compensation, comprehensive benefits, and opportunities for career advancement within our innovative organization.
As a cornerstone of our risk management framework, you'll ensure adherence to federal regulations (including Dodd-Frank, SEC, and FINRA requirements), conduct risk assessments, and develop compliance programs that protect our clients and reputation. Our collaborative culture values expertise, integrity, and strategic thinking.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with industry regulations
- Conduct thorough internal audits and risk assessments to identify compliance gaps
- Prepare detailed regulatory reports and documentation for executive stakeholders
- Collaborate with legal and operations teams to resolve compliance issues
- Train staff on regulatory requirements and compliance protocols
- Stay current with evolving financial regulations and industry best practices
- Lead investigations into compliance breaches and recommend corrective actions
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7, 24, or 63 certifications required
- Expert knowledge of SEC, FINRA, and federal banking regulations
- Strong analytical and problem-solving skills with attention to detail
- Exceptional written and verbal communication abilities
- Experience with compliance software (e.g., ComplianceEase, Diligence Engine)
- Proven ability to thrive in fast-paced, regulated environments