Job Description
Join our dynamic compliance team as a key guardian of regulatory integrity in Milwaukee's thriving financial sector. We're seeking a detail-oriented professional to navigate complex regulatory landscapes, ensuring adherence to federal and state regulations while fostering a culture of compliance excellence. This role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Responsibilities
- Monitor and interpret evolving regulations (FINRA, SEC, state banking laws) to ensure organizational compliance
- Develop, implement, and maintain compliance policies, procedures, and training programs
- Conduct internal audits and risk assessments to identify compliance vulnerabilities
- Collaborate with legal, operations, and audit teams to resolve compliance issues
- Prepare detailed compliance reports for senior management and regulatory bodies
- Lead investigations of potential compliance violations and recommend corrective actions
- Stay current on industry trends and regulatory changes affecting financial services
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Strong knowledge of federal/state banking regulations and FINRA rules
- Certified Regulatory Compliance Manager (CRCM) or similar certification preferred
- Exceptional analytical skills with attention to detail
- Excellent written/verbal communication and presentation abilities
- Proficient in compliance software and MS Office Suite
- Ability to work independently and manage multiple priorities