Job Description
Join our award-winning team at Milwaukee Financial Services Inc. as a Compliance Officer and receive a $5,000 sign-on bonus! We're seeking a detail-oriented professional to ensure regulatory adherence and drive ethical practices across all operations. Enjoy competitive benefits, hybrid work flexibility, and opportunities for career growth in Milwaukee's thriving financial sector. Help us maintain industry-leading standards while making a tangible impact.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, state laws) to update compliance policies
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and deliver compliance training programs for 200+ employees
- Investigate and resolve compliance violations with remediation plans
- Prepare regulatory reports and maintain audit documentation
- Collaborate with legal, HR, and operations teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services
- FINRA Series 63/65 or 66 certifications required
- Strong knowledge of AML, BSA, and SEC regulations
- Advanced proficiency in compliance software (e.g., Compliance.ai)
- Exceptional analytical and problem-solving abilities
- Excellent written/verbal communication skills