Job Description
Madison Financial Group is a dynamic and forward-thinking organization dedicated to maintaining the highest standards of integrity and regulatory excellence. We are currently seeking a highly skilled Compliance Officer to join our elite team in Madison, WI. In this pivotal role, you will be responsible for ensuring our operations align with all applicable laws, regulations, and internal policies, safeguarding our reputation and our clients' interests. We offer a competitive benefits package, a collaborative work environment, and the opportunity to make a significant impact within the financial sector.
Responsibilities
- Monitor and interpret federal, state, and local regulations to ensure full compliance with company policies.
- Conduct regular internal audits and risk assessments to identify potential vulnerabilities.
- Develop and maintain comprehensive compliance documentation, policies, and procedures.
- Collaborate with cross-functional teams to implement necessary regulatory changes.
- Provide training and guidance to staff on compliance standards and ethical conduct.
- Investigate and report any potential violations or suspicious activities to senior management.
- Prepare and submit regulatory reports to external agencies as required.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field is required.
- Minimum of 3-5 years of experience in compliance, auditing, or risk management.
- Strong knowledge of financial regulations (e.g., SEC, FINRA, state banking laws) is essential.
- Proficiency in data analysis and regulatory software tools.
- Excellent written and verbal communication skills.
- Strong attention to detail and the ability to manage multiple priorities under tight deadlines.
- Certification (e.g., CFE, CIA, CPA) is a plus.