Job Description
Join our dynamic team at Madison Financial Services Inc. as a Compliance Officer and play a critical role in ensuring regulatory adherence across all operations. We offer a collaborative environment where your expertise will directly shape our compliance framework while supporting our mission to deliver exceptional financial services to the Madison community. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional growth in a forward-thinking organization.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal and state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Provide expert guidance on regulatory changes affecting financial operations
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on compliance policies and regulatory requirements
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and risk management teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and state banking regulations
- Proficient in compliance management software (e.g., OnBase, ComplianceEase)
- Excellent analytical and problem-solving skills
- Strong written and verbal communication abilities
- Professional certification (CRCM, CAMS, or CCEP) preferred
- Ability to thrive in a fast-paced, regulated environment