The Northland Senior Compliance Officer at FNBO is a pivotal role within the Compliance Department, focusing on Fixed Income Capital Markets. This position ensures that both employees and the organization adhere to industry regulations and internal policies. Ideal candidates will possess a strong understanding of broker-dealer regulations, including those from FINRA, SEC, and MSRB.

Key responsibilities encompass developing and executing onboarding and offboarding processes for Fixed Income employees, managing the conflicts of interest program, and delivering various compliance training programs. The role also involves supporting compliance monitoring and testing, coordinating reporting channels for compliance issues, and maintaining strong partnerships with business lines and support functions. Staying updated on regulatory changes and serving as the primary liaison for fixed income-related examinations are also essential duties.

Candidates should have a minimum of five years in a supervisory or compliance role within the financial services industry, preferably at a broker-dealer. A comprehensive understanding of SEC, MSRB, FINRA, and state regulations is required. Strong research, investigative, and critical thinking skills are essential, along with the ability to manage multiple projects, prioritize effectively, and communicate clearly. A college degree or comparable securities industry experience is necessary, along with relevant FINRA qualifications.

The compensation for this role ranges from $80,061 to $132,090 annually, commensurate with experience. FNBO offers a comprehensive benefits package, including medical, dental, and vision insurance, 401(k) with matching contributions, time-off programs, health savings accounts, employee banking, growth opportunities, tuition assistance, and short-term/long-term disability insurance.

FNBO fosters a collaborative and innovative work environment, emphasizing mentorship and professional growth. Employees are encouraged to develop and implement comprehensive policies and training materials, contributing to a culture of compliance and continuous improvement.