Job Description
Join our elite compliance team and safeguard our financial integrity! We're urgently seeking a detail-oriented Compliance Officer to ensure adherence to regulatory standards in Indianapolis. This high-impact role offers career growth, competitive compensation, and the chance to make a tangible difference in our organization's ethical framework.
Why join us? Our award-winning compliance program offers mentorship from industry veterans, flexible work arrangements, and comprehensive benefits including 401(k) matching. Be part of a company that values integrity and innovation.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, OCC) to update compliance policies
- Conduct internal audits and risk assessments across financial operations
- Develop training programs for staff on compliance protocols and ethical conduct
- Investigate and resolve compliance violations with detailed documentation
- Collaborate with legal and audit teams to ensure cohesive risk management
- Prepare compliance reports for senior management and regulatory bodies
- Implement AML/KYC procedures to prevent financial crimes
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- FINRA Series 63/65/66 certifications (or equivalent)
- Proficiency in compliance software (e.g., Nasdaq, Bloomberg)
- Strong knowledge of federal banking regulations
- Exceptional analytical and problem-solving abilities
- Certified Regulatory Compliance Manager (CRCM) a plus
- Experience with Sarbanes-Oxley Act requirements