Job Description
Join our dynamic compliance team at Milwaukee Financial Services Inc. as a Compliance Officer where you'll safeguard regulatory integrity while driving ethical business practices. We're seeking a detail-oriented professional to navigate complex financial regulations and implement robust compliance frameworks. Enjoy competitive benefits, professional development opportunities, and a collaborative environment in Milwaukee's vibrant downtown.
Responsibilities
- Monitor and ensure adherence to federal (FINRA, SEC, CFPB) and state regulatory requirements
- Develop, implement, and update compliance policies and procedures
- Conduct regular internal audits and risk assessments
- Investigate potential compliance violations and recommend corrective actions
- Provide compliance training to staff across all departments
- Prepare and submit regulatory reports to governing bodies
- Stay current on regulatory changes and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and AML regulations
- Excellent analytical and problem-solving abilities
- Proficient in compliance software (e.g., ComplySci, OnBase)
- Strong written and verbal communication skills
- Relevant certifications (CRCM, CAMS) preferred