Job Description
Join our dynamic compliance team in Minneapolis and become a guardian of ethical business practices! We're urgently seeking a detail-oriented Compliance Officer to navigate complex regulatory landscapes and ensure organizational integrity. This pivotal role offers competitive compensation, comprehensive benefits, and the chance to make tangible impact in a fast-paced financial environment. Apply today to secure your position in this high-demand opportunity!
Responsibilities
- Develop and implement robust compliance programs aligned with federal/state regulations (FINRA, SEC, etc.)
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare detailed regulatory reports and documentation for stakeholders
- Train staff on compliance policies and regulatory updates
- Investigate potential violations and recommend corrective actions
- Stay current on evolving financial regulations and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- CFMP, CAMS, or CCEP certification strongly preferred
- Expert knowledge of FINRA, SEC, and Minnesota state regulations
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication and presentation skills