Compliance Officer, Robert Half

Compliance Officer

Robert Half

Location:

United States, Minneapolis

Category:

Finance

Contract Type:

Not provided

Salary:

Not provided

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Job 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.

Job Responsibility:

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

Requirements:

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
Ability to manage multiple tasks and deadlines with minimal supervision across multiple time zones
Bachelor’s degree in Business Administration, Finance, or a related field, or equivalent combination of education and experience

What we offer:

medical
vision
dental
life and disability insurance
eligibility to enroll in company 401(k) plan

Additional Information:

Job Posted:

March 25, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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