<p>Compliance Manager</p><p>Are you an experienced compliance professional ready to lead and enhance compliance programs in the financial services industry? We are seeking a Compliance Manager to join a robust Legal & Compliance team. This role entails developing and overseeing compliance policies, procedures, and testing programs to ensure adherence to regulations and support organizational integrity.</p><p><br></p><p>Key Responsibilities</p><p>Manage the firm’s Electronic Communications Program, including policies, procedures, training, and surveillance in compliance with regulations.</p><p>Evaluate new technology projects and vendor assessments for potential regulatory risks and control requirements.</p><p>Participate in committees, refine related policies, and handle incident investigation, response, and remediation efforts.</p><p>Test accuracy of supervisory reports utilized for compliance oversight and regulatory purposes.</p><p>Perform control testing over Books and Records, Privacy, Cybersecurity, Vendor Management, and other processes to ensure regulatory compliance.</p><p>Revise written supervisory procedures and policies as needed, in response to evolving regulations, business processes, or testing outcomes.</p><p>Work across departments to resolve compliance-related issues and ensure the implementation of effective controls.</p><p>Develop and deliver compliance training to enhance understanding of policies across the organization.</p><p>Assist in responding to regulatory inquiries, audits, and remediation efforts as advised by regulatory bodies or firm leadership.</p><p>Identify and implement opportunities for operational and technological enhancements to improve efficiency and oversight.</p><p>Qualifications</p><p>7+ years of relevant compliance experience; prior institutional broker-dealer experience is a plus.</p><p>Bachelor’s degree required, with a focus in Business, Economics, Computer Science, or a related field preferred.</p><p>Proficiency with enterprise compliance systems, Microsoft Office Suite, and data analytics tools.</p><p>Strong interpersonal and written communication skills; ability to liaise effectively across departments in various settings.</p><p>Must be detail-oriented with the ability to manage and prioritize multiple tasks effectively while maintaining confidentiality.</p><p> </p><p>This position offers an opportunity to help shape and execute compliance programs in a dynamic and fast-paced environment, collaborating with teams committed to excellence.</p><p> </p><p>Ready to take the next step in your career? Contact Douglas Rickart at 612-249-0330, connect with him on LinkedIn, or click the application link to apply!</p>
<p><strong>Compliance Analyst</strong></p><p>Join a compliance team as a <strong>Compliance Analyst</strong>, where you'll play a vital role in managing business risks and executing a robust compliance program. This high-visibility position works closely with employees across the firm, including senior-level managers and external advisors.</p><p><strong>Key Responsibilities:</strong></p><p>· Support the team in executing the compliance program.</p><p>· Manage the compliance program, including brokerage account oversight, daily monitoring, and reporting.</p><p>· Coordinate compliance certifications and review pre-trade requests and personal trading issues.</p><p>· Maintain the firm's restricted list and assist with regulatory filings to ensure deadlines are met.</p><p>· Conduct compliance assessments and contribute to quarterly compliance reviews.</p><p>· Serve as a resource for staff on compliance matters and provide backup support for the compliance team.</p><p>· Perform special projects and assist with improvements to compliance processes as needed.</p><p><strong>Qualifications:</strong></p><p>· 1+ years of compliance, financial services, or audit experience preferred.</p><p>· Bachelor's degree in a business-related field.</p><p>· Exceptional attention to detail, analytical skills, and proficiency in Microsoft Excel.</p><p>· Strong communication skills with the ability to relay complex information effectively.</p><p>· Self-motivated, resourceful, and eager to learn in an entrepreneurial environment.</p><p>· Ability to manage workload and meet deadlines. </p><p>This is an excellent opportunity for someone looking to grow in a dynamic role within a collaborative and fast-paced environment.</p><p><strong>Contact:</strong></p><p>Douglas Rickart at 612-249-0330 or connect on LinkedIn. Click the application link to apply today!</p>
<p>Vice President/Compliance Officer – Twin Cities Metro Area</p><p>Are you a seasoned compliance professional looking for your next leadership challenge? A leading financial institution in the Twin Cities Metro Area is seeking a <strong>Vice President/Compliance Officer</strong> to take ownership of its compliance programs and drive excellence across regulatory frameworks. This is an outstanding opportunity to align your expertise in banking compliance with a mission-driven organization focused on fostering community engagement and regulatory leadership.</p><p>Key Responsibilities</p><p>· Lead and oversee all aspects of the bank’s compliance programs, ensuring adherence to regulatory requirements, including CRA, ECOA, HMDA, and additional fair lending laws.</p><p>· Develop, refine, and implement compliance strategies, policies, and procedures to stay ahead of changing regulatory landscapes.</p><p>· Serve as the primary liaison with regulatory agencies during examinations, audits, and reviews, addressing findings and implementing corrective action when necessary.</p><p>· Mentor and manage compliance team members, promoting professional development and a culture of accountability.</p><p>· Collaborate with executive and operational teams to ensure alignment of regulatory compliance priorities with overall business objectives.</p><p>· Monitor industry trends and regulatory developments to provide actionable insights and maintain the institution's position as a compliance leader.</p><p>Qualifications</p><p>· 5+ years of experience in compliance, regulatory oversight, or a related role within the financial services industry; relevant legal or regulatory agency experience is highly preferred.</p><p>· Demonstrated expertise in community banking compliance, including strong knowledge of applicable regulations (e.g., CRA, ECOA, HMDA).</p><p>· Proven leadership and management abilities, with at least 2+ years overseeing and mentoring teams to success.</p><p>· Strong analytical, organizational, and communication skills; must be adept at distilling complexity into actionable recommendations.</p><p>· Hands-on experience collaborating with external regulatory bodies and guiding institutions through examinations or audits.</p><p>This is an opportunity to lead meaningful compliance efforts that impact both the bank and the community. Be part of a forward-thinking institution that values diversity, promotes equitable practices, and deeply invests in its employees and the communities it serves.</p><p>If you are interested, please contact Douglas Rickart at 612-249-0330, connect with him on LinkedIn, or simply click the application link to get started.</p>
