Job Description
Join our dynamic compliance team in Milwaukee and enjoy the security of weekly pay while protecting our financial operations. As a Compliance Officer, you'll ensure adherence to federal regulations, mitigate risks, and maintain ethical standards in a fast-paced environment. We offer competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive workplace culture.
Responsibilities
- Monitor regulatory changes and implement compliance policies aligned with FINRA, SEC, and state regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and deliver compliance training programs for staff across departments
- Investigate potential violations and prepare detailed incident reports
- Collaborate with legal and senior leadership on compliance initiatives
- Maintain accurate documentation of compliance activities and audits
- Stay updated on industry best practices and regulatory developments
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Knowledge of FINRA, SEC, and Wisconsin state regulations
- Strong analytical and problem-solving skills
- Excellent written and verbal communication abilities
- Proficiency with compliance software and data analysis tools
- Certification (CRCM, CAMS, or CCEP) strongly preferred
- Ability to work independently and manage multiple priorities