Job Description
Join our dynamic compliance team as a Remote-Friendly Compliance Officer in Milwaukee! We're seeking a detail-oriented professional to safeguard our organization's regulatory integrity while enjoying flexible work arrangements. This hybrid role (3 days in Milwaukee office, 2 remote) offers competitive benefits and growth opportunities in a forward-thinking environment.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits across financial operations
- Train staff on compliance protocols and regulatory updates
- Investigate and resolve compliance violations with documented corrective actions
- Maintain meticulous records of compliance activities for regulatory reporting
- Collaborate with legal and executive teams on policy development
- Monitor industry changes to ensure proactive compliance adaptation
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services
- FINRA Series 7, 63, and 24 certifications required
- Expert knowledge of federal/state banking regulations
- Proficient in compliance software (e.g., ComplianceEase, Fusion)
- Exceptional written communication and documentation skills
- Certified Regulatory Compliance Manager (CRCM) certification a plus