Compliance Officer

Salary: $81000.00 to $91000.00 yearly

Description

We are seeking a Compliance Officer in the investment management industry, based in Minneapolis, Minnesota. As a Compliance Officer, you will be tasked with ensuring adherence to various legal and regulatory norms such as Corporate Compliance, the Bank Secrecy Act (BSA), Anti-Money Laundering (AML), Customer Identification Program (CIP), Beneficial Ownership, and Office of Foreign Asset Control (OFAC) requirements. Additionally, you will be managing daily regulatory and compliance tasks and maintaining regulatory systems.

Responsibilities

• Ensuring compliance with legal, regulatory, and internal policies, including Corporate Compliance, the Bank Secrecy Act (BSA), Anti-Money Laundering (AML), Customer Identification Program (CIP), Beneficial Ownership, and Office of Foreign Asset Control (OFAC) requirements.
• Managing daily compliance and regulatory tasks, ensuring the smooth functioning of the organization.
• Maintaining and updating regulatory systems and notifications, keeping them in line with the latest requirements.
• Collaborating with internal teams across Lending, Credit, Legal, and Finance, focusing on risk and compliance.
• Handling additional tasks related to audit, risk, third-party vendor management, or process governance as required.
• Ensuring effective communication across all levels of the organization and handling complaints with professionalism and tact.
• Implementing and maintaining a robust compliance framework, contributing to the overall risk management strategy of the organization.
• Utilizing strong communication skills to convey complex compliance concepts clearly and effectively.
• Applying expertise in commercial lending to guide compliance efforts in this area.
• Conducting regular audits to identify potential compliance issues and taking corrective action as needed.
  
  
  

Candidates must be eligible to work in the U.S.

Requirements

Qualifications & Skills:

• Minimum of 5 years of regulatory compliance experience in banking or commercial lending.
• Experience in small business lending and familiarity with commercial lending compliance, NMLS, and CRA.
• Strong written and verbal communication skills with attention to detail and commitment to internal stakeholders.
• Ability to proactively identify and resolve issues, assess risks, and offer solutions in a fast-paced environment.
• Collaborative team player who can work effectively across multifunctional teams to achieve goals.
• Experience managing license acquisition and maintenance through NMLS or similar systems.
• Proficiency in regulatory reporting and data analysis, with strong skills in Excel and reporting software.
• Ability to manage compliance-related projects, such as audits, policy rollouts, and risk control enhancements.
• Knowledge of CDFIs or the industry is highly desirable.
• Ability to manage multiple tasks and deadlines with minimal supervision across multiple time zones.
  
  
  

Educational Requirements

• Bachelor’s degree in Business Administration, Finance, or a related field, or equivalent combination of education and experience.
  
  
  

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