Job Description
Join our dynamic team as a Compliance Officer in Milwaukee and shape the future of regulatory excellence. We offer a competitive salary with the unique benefit of weekly paychecks, ensuring your financial stability while you make a meaningful impact. This role is perfect for detail-oriented professionals passionate about safeguarding organizational integrity in the financial services sector.
Our company fosters a collaborative environment where your expertise in compliance frameworks will directly contribute to our mission of ethical business practices. Enjoy comprehensive benefits, professional development opportunities, and the chance to work with industry leaders in Wisconsin's thriving financial hub.
Responsibilities
- Develop and implement compliance programs aligned with federal regulations (FINRA, SEC, and state-specific requirements)
- Conduct internal audits and risk assessments to identify potential compliance gaps
- Prepare detailed regulatory reports and documentation for senior leadership
- Train staff on compliance policies and regulatory updates
- Monitor industry changes and advise on mitigation strategies
- Collaborate with legal and audit teams to ensure regulatory adherence
- Manage compliance investigations and corrective action plans
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Certification (CRCM, CAMS, or CCEP) preferred
- Strong knowledge of FINRA, SEC, and Wisconsin state regulations
- Exceptional analytical and problem-solving abilities
- Proficient in compliance software and MS Office Suite
- Excellent written and verbal communication skills
- Ability to thrive in a fast-paced, deadline-driven environment