Job Description
Join our award-winning compliance team in Milwaukee with a comprehensive paid training program designed to accelerate your career in financial regulations. As a Compliance Officer, you'll ensure adherence to federal and state regulations while protecting our clients' interests. We provide industry-leading mentorship and hands-on training in risk assessment, policy development, and regulatory reporting. This is your opportunity to transition into a high-demand field with full salary and benefits during training.
Why Choose Us?
• Industry-leading compliance certification program
• Mentorship from senior compliance professionals
• Full salary and benefits during training period
• Career advancement opportunities to senior roles
Responsibilities
- Develop, implement, and monitor compliance programs adhering to FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits for financial products and services
- Prepare regulatory reports and disclosures for federal and state authorities
- Train staff on compliance policies and regulatory updates
- Investigate and resolve compliance violations with corrective action plans
- Stay current on evolving financial regulations through continuous education
- Collaborate with legal, risk management, and business units
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (or equivalent experience)
- Strong analytical and problem-solving skills
- Excellent written and verbal communication abilities
- Basic understanding of financial regulations (training provided)
- Ability to handle sensitive information with discretion
- Proficiency in Microsoft Office Suite and compliance software
- Attention to detail and organizational skills
- Commitment to ongoing professional development