Job Description
Join our dynamic compliance team in Minneapolis and play a critical role in safeguarding our financial operations. We're urgently seeking a detail-oriented Compliance Officer to implement regulatory frameworks, conduct risk assessments, and ensure adherence to federal and state regulations. Enjoy competitive compensation, comprehensive benefits, and a collaborative work environment in the heart of downtown Minneapolis.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed regulatory reports and documentation for board review
- Train staff on compliance policies and regulatory updates
- Investigate potential violations and recommend corrective actions
- Collaborate with legal, risk, and operations teams on compliance initiatives
- Stay current on regulatory changes and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- FINRA Series 63/65 or 24 licenses required
- Proficiency in compliance software (e.g., Compliance.ai, Nasdaq TradeNav)
- Strong analytical skills with attention to detail
- Experience with AML/KYC procedures and BSA/AML regulations
- Excellent written and verbal communication skills
- Ability to thrive in a fast-paced, deadline-driven environment