Job Description
Join our award-winning compliance team in Milwaukee, WI and make a tangible impact on financial regulatory integrity! We're seeking a detail-oriented Compliance Officer to ensure adherence to federal regulations (FINRA, SEC, CFTC) while maintaining our industry-leading ethical standards. This role offers a competitive $10,000 sign-on bonus for qualified candidates who can start within 30 days. Enjoy hybrid work flexibility, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Responsibilities
- Monitor regulatory changes and implement compliance policies across trading operations
- Conduct internal audits and risk assessments for AML/KYC procedures
- Prepare regulatory reports and respond to examinations from FINRA/SEC
- Train staff on updated compliance protocols and ethical standards
- Coordinate with legal counsel on regulatory investigations
- Develop risk mitigation strategies for emerging compliance challenges
Qualifications
- Bachelor's degree in Finance, Business, or related field (required)
- 3+ years compliance experience in financial services (required)
- Certified Regulatory Compliance Manager (CRCM) designation (preferred)
- Advanced knowledge of FINRA rules and SEC regulations
- Strong analytical skills with attention to detail
- Experience with compliance software (e.g., Nasdaq Comply, Actimize)
- Excellent written/verbal communication skills