Job Description
Join our dynamic compliance team at Global Financial Services Inc. and become a guardian of ethical standards in the financial industry. As a Compliance Officer in Milwaukee, you'll safeguard our organization against regulatory risks while shaping a culture of integrity. Enjoy competitive benefits, professional development opportunities, and the chance to make a tangible impact in a growing company.
Responsibilities
- Monitor and interpret federal/state regulations (FINRA, SEC, FFIEC) to ensure organizational compliance
- Develop and implement internal control frameworks and compliance policies/procedures
- Conduct regular risk assessments and internal audits across all business units
- Lead investigations of compliance violations and recommend corrective actions
- Collaborate with legal, audit, and business teams to address compliance gaps
- Prepare comprehensive reports for senior management and regulatory bodies
- Train employees on regulatory requirements and ethical standards
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and AML/BSA requirements
- Certified Regulatory Compliance Manager (CRCM) or similar designation
- Exceptional analytical skills with attention to detail
- Proven experience creating compliance documentation and training materials
- Ability to communicate complex regulations to non-technical stakeholders