Top 6 Chief compliance Jobs in Minnesota

Chief Compliance Officer
Gradient Financial Group —Arden Hills, MN
- $100,000 - $200,000 a year
- 8 hour shift
- Hybrid work
- Office
- Bachelor's degree
- Continuous improvement
- Paid holidays
- Health insurance
Quick Apply
7d
Chief Compliance Officer
University of Minnesota —Minneapolis, MN
- $273,395 - $325,545 a year
- Full-time
- Background check
- HIPAA
- 11+ years
Chief Legal Counsel / General Counsel 2
State of Minnesota - Human Services Dept —Saint Paul, MN
- $57.67 - $82.61 an hour
- Full-time
- Hybrid work
- Writing skills
- 3 years
- Analysis skills
- Paid parental leave
- Paid holidays
4d
Chief Compliance Officer
Lifespark Group LLC —Saint Louis Park, MN
- $180,000 - $220,000 a year
- Hybrid work
- Background check
- Nursing
- 7 years
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8d

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Chief Compliance Officer
Gradient Financial Group —Arden Hills, MN
Ensure compliance with applicable FINRA, SEC, state, and other regulatory requirements. Extensive knowledge of FINRA, SEC, and state securities regulations.
$100,000 - $200,000 a year
Quick Apply
7d
Chief Compliance Officer
University of Minnesota —Minneapolis, MN
To modernize the University of Minnesota’s compliance infrastructure, the CCO will strategically develop systems, tools, and technologies that support training,…
$273,395 - $325,545 a year

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Chief Compliance & Quality Officer
Diversified Treatment Alternative Centers —Columbus, OH
Bachelor’s degree in Healthcare Administration, Human Services, Social Work, Business, or related field required; Master’s degree preferred.
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Chief Compliance Officer

Gradient Financial Group -
Arden Hills, MN

Quick Apply

Job Details

Full-time
$100,000 - $200,000 a year
7 days ago

Benefits

Paid holidays
Health insurance
Dental insurance
401(k)
Paid time off
Leadership training provided
Vision insurance
401(k) matching
Volunteer time off
Life insurance

Qualifications

Investment firm experience
Teamwork
Team leadership
Securities & Exchange Commission
Series 7
Team development
Securities law compliance support experience
Bachelor's degree
Securities law
FINRA License
Legal compliance
General management
Experience at securities companies
Senior leadership

Full Job Description

Are you a seasoned compliance leader who thrives on building strong compliance programs, navigating complex regulations, and partnering with business leaders to support growth while protecting the integrity of the organization? Do you enjoy developing people, driving strategic initiatives, and serving as a trusted advisor in an evolving regulatory environment? If so, we'd love to hear from you.

Gradient Financial Group is a financial services organization with twelve specialized entities. We're seeking an experienced Chief Compliance Officer to provide strategic compliance leadership and ensure our regulatory programs continue to support our advisors, clients, and business objectives.

What You'll Do

Provide strategic leadership and oversight of the firm's compliance program for both broker-dealer and registered investment adviser activities.
Ensure compliance with applicable FINRA, SEC, state, and other regulatory requirements.
Develop, implement, and enhance compliance policies, procedures, and supervisory controls.
Oversee regulatory filings, examinations, audits, and responses to regulatory inquiries.
Supervise the review of advertising, correspondence, sales materials, Outside Business Activities (OBAs), and Private Securities Transactions (PSTs).
Lead branch office and Investment Adviser Representative (IAR) inspection programs.
Monitor regulatory developments and proactively implement changes to policies, procedures, and technology.
Partner with executive leadership and business units to provide practical compliance guidance while supporting strategic initiatives.
Build, mentor, and develop a high-performing compliance team focused on collaboration, accountability, and continuous improvement.
Design and deliver compliance education, training programs, and communications for advisors and internal associates.
Foster strong relationships with Financial Services Professionals (FSPs), internal departments, regulators, and external partners.
Identify opportunities to improve operational efficiency through technology, automation, and process enhancements.
Perform other duties as assigned.

What You Bring

Bachelor's degree or equivalent combination of education and experience.
FINRA Series 7, 24, and 66 licenses (or ability to obtain where applicable).
10+ years of progressive broker-dealer and/or RIA compliance experience.
Extensive knowledge of FINRA, SEC, and state securities regulations.
Demonstrated experience leading enterprise compliance programs and regulatory examinations.
Strong leadership, communication, analytical, organizational, and decision-making skills.
Ability to balance regulatory requirements with business objectives while maintaining the highest ethical standards.
Proven ability to build relationships, influence stakeholders, and lead through change.

Preferred

Additional industry licenses, such as Series 27 or 65.
Experience serving as a Chief Compliance Officer for a broker-dealer and/or registered investment adviser.
Experience working with compliance technology, surveillance systems, and supervisory controls.
Background leading regulatory examinations and remediation efforts.
Experience managing and developing compliance professionals.

Our Benefits

Competitive compensation and comprehensive benefits package.
4 weeks of accrued PTO, plus 9 paid holidays.
Medical, dental, vision, life insurance, and 401(k).
8 hours of paid Volunteer Time Off (VTO).
Hybrid schedule with four in-office days and one remote workday per week.
Ongoing professional development and leadership training.
A collaborative culture that values integrity, innovation, and continuous growth.

Why You'll Love Working Here

At Gradient, we believe strong compliance is a strategic advantage. Our leaders are empowered to make an impact, collaborate across the organization, and help shape the future of our business. We foster a culture built on integrity, teamwork, accountability, and continuous improvement—where your expertise is valued, your ideas are welcomed, and your career can continue to grow.

Explore more opportunities with Gradient Financial Group at https://www.careers.gradientfinancialgroup.com/.

Pay: $100,000.00 - $200,000.00 per year

Benefits:

401(k)
401(k) matching
Health insurance
Life insurance
Paid time off

Work Location: In person

Quick Apply

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chief compliance jobs in minnesota

Chief Compliance Officer

Chief Compliance Officer

Chief Legal Counsel / General Counsel 2

Chief Compliance Officer

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