Job Description
Join our dynamic team as a Compliance Officer in Minneapolis, MN! We're urgently seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment.
As a key member of our compliance department, you'll develop and implement policies aligned with federal and state regulations, conduct thorough risk assessments, and maintain meticulous documentation. This role offers competitive compensation, comprehensive benefits, and career growth opportunities in one of America's most vibrant cities.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Prepare detailed regulatory reports and maintain accurate documentation
- Collaborate with legal and senior leadership on compliance initiatives
- Train staff on regulatory updates and internal policies
- Investigate potential violations and recommend corrective actions
- Stay current with evolving financial regulations 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
- Strong knowledge of FINRA, SEC, and Minnesota state regulations
- Excellent analytical and problem-solving skills
- Professional certifications (CRCM, CAMS) highly valued
- Proficient in compliance software and data analysis tools
- Exceptional written and verbal communication skills