Job Description
Join Milwaukee Financial Group as a Compliance Officer and play a critical role in safeguarding our organization's integrity. We're offering a competitive $10,000 sign-on bonus for qualified candidates who can start immediately. You'll ensure adherence to federal regulations, internal policies, and industry standards while driving our compliance culture forward. Enjoy a dynamic work environment in Milwaukee's vibrant downtown with opportunities for career growth and continuous learning.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies accordingly
- Train staff on compliance procedures and ethical standards
- Investigate potential violations and recommend corrective actions
- Liaise with regulators during examinations and inquiries
- Prepare comprehensive compliance reports for senior leadership
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- FINRA Series 24, 26, or 27 certification required
- Strong knowledge of BSA/AML, Reg BI, and SEC regulations
- Exceptional analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Proficiency with compliance management software (e.g., Adenza, NICE Actimize)