Job Description
Join Madison Financial Services as a Compliance Officer and become a guardian of regulatory excellence in the heart of Wisconsin's vibrant capital. We're seeking a meticulous professional to ensure adherence to federal and state regulations while fostering a culture of ethical integrity. This pivotal role offers hybrid flexibility and direct impact on our organization's risk management framework.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare regulatory filings and respond to examiner inquiries
- Train staff on updated compliance policies and procedures
- Collaborate with legal and operations teams on regulatory changes
- Maintain meticulous documentation of compliance activities
- Lead investigations of potential compliance violations
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or equivalent designation
- Deep knowledge of Wisconsin state and federal financial regulations
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills
- Proficiency with compliance software and regulatory reporting tools