Job Description
Join our dynamic team as a Compliance Officer at Madison Financial Services, where you'll safeguard our organization's integrity in the heart of Wisconsin's capital. We're seeking a detail-oriented professional to navigate complex regulatory landscapes while fostering a culture of ethical excellence. This hybrid role offers the perfect blend of independent work and collaborative problem-solving in our modern downtown office.
Our ideal candidate thrives in fast-paced environments where attention to detail meets strategic thinking. You'll be instrumental in ensuring adherence to federal, state, and industry regulations while developing innovative compliance frameworks that support sustainable growth.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with FINRA, SEC, and state regulations
- Conduct thorough risk assessments and internal audits to identify potential compliance vulnerabilities
- Provide expert guidance to cross-functional teams on regulatory requirements and ethical standards
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Lead investigations into compliance breaches and recommend corrective actions
- Stay current with evolving financial regulations through continuous research and professional development
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 FINRA, SEC, and Wisconsin state regulations
- Excellent analytical skills with ability to interpret complex regulatory documents
- Certified Regulatory Compliance Manager (CRCM) or similar designation required
- Exceptional written and verbal communication skills
- Proven ability to thrive in fast-paced, deadline-driven environments