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Compliance Coordinator

3 months ago


Fort Wayne, United States Creative Financial Staffing Full time

Compliance Coordinator

Our client is a premier financial services organization known for its exceptional culture and commitment to excellence. The company fosters a collaborative, inclusive, and innovative work environment where every team member is valued and empowered to thrive. As the company continues to grow significantly, it seeks dedicated professionals to maintain its high standards and support strategic initiatives.

Compliance Coordinator Overview:

Our client is looking for a detail-oriented and experienced Compliance Coordinator to join its dynamic team. This newly created role is vital for ensuring that the organization adheres to industry regulations and internal policies. The ideal candidate will have 3-5 years of experience in compliance within the financial services industry and hold a Series 24 license. This role will act as a key partner in implementing compliance standards and supporting the company's strategic initiatives.

Compliance Coordinator Key Responsibilities:

  • Develop, implement, and maintain compliance policies and procedures to ensure adherence to regulatory requirements.
  • Act as a strategic partner to various departments, collaborating to implement compliance standards and drive strategic initiatives.
  • Conduct regular audits and assessments to identify potential compliance issues and recommend corrective actions.
  • Monitor and analyze changes in regulations and industry trends to ensure the company remains compliant.
  • Collaborate with various departments to provide guidance on compliance matters and promote a culture of compliance throughout the organization.
  • Prepare and submit compliance reports to regulatory authorities as required.
  • Conduct training sessions for employees to enhance their understanding of compliance requirements and best practices.
  • Assist in the investigation and resolution of compliance related incidents and complaints.
  • Maintain accurate and UpToDate records of all compliance activities and documentation.

Compliance Coordinator Qualifications:

  • Bachelor's degree in finance, business, law, or a related field.
  • 3-5 years of experience in a compliance role within the financial services industry.
  • Series 24 license required.
  • Strong understanding of financial regulations and compliance requirements.
  • Excellent analytical, organizational, and communication skills.
  • Ability to work independently and as part of a team, with a proactive and solutions-oriented approach.
  • High level of integrity and ethical standards.

What Our Client Offers:

  • Competitive salary and benefits package.
  • Opportunity to work in a supportive and collaborative environment.
  • Professional development and career growth opportunities.
  • A vibrant company culture that values diversity, inclusion, and work-life balance.

Our client is dedicated to excellence, innovation, and significant growth in the financial services industry. The company looks forward to welcoming a new Compliance Coordinator who shares its values and vision.



Click here to apply online