Compliance & Risk Specialist
Job in
Rochester, Olmsted County, Minnesota, 55905, USA
Listed on 2026-08-12
Listing for:
Wenna Holdings Inc.
Full Time
position Listed on 2026-08-12
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst, Financial Compliance
Job Description & How to Apply Below
The Compliance & Risk Specialist ensures that Wenna Holdings operates with the highest level of integrity and regulatory adherence. You will monitor trading activities, assess operational risks, and maintain our compliance infrastructure.
Responsibilities- Conduct daily surveillance of trading activities to ensure regulatory compliance.
- Assist in the development and implementation of risk management policies.
- Prepare and submit required regulatory filings and reports.
- Perform internal audits and risk assessments across various business units.
- Educate staff on compliance protocols and industry best practices.
- Bachelor’s degree in Law, Finance, or Business Administration.
- 3-5 years of experience in compliance or risk management within a financial institution.
- Deep knowledge of SEC, FINRA, and other relevant regulatory frameworks.
- Strong analytical skills and the ability to interpret complex regulations.
- Uncompromising ethical standards and integrity.
- JD or relevant compliance certifications (e.g., CRCP, CAMS).
- Experience with automated compliance surveillance systems.
- Background in quantitative risk modeling.
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