Job Description
Join our dynamic team as a Compliance Officer in Milwaukee and play a pivotal role in safeguarding our organization's integrity. We're offering a competitive salary plus a $7,500 sign-on bonus for qualified candidates who start by December 31st. You'll ensure adherence to federal regulations, conduct risk assessments, and develop compliance frameworks that protect our clients and stakeholders. This is your chance to make an impact in a growing financial services firm with a commitment to ethical excellence.
Responsibilities
- Develop and implement compliance policies aligned with FINRA, SEC, and state regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Monitor regulatory changes and update procedures accordingly
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare comprehensive compliance reports for executive leadership
- Collaborate with legal and audit teams to ensure cohesive risk management
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- FINRA Series 24 or 27 certification preferred
- Strong knowledge of AML, KYC, and Dodd-Frank regulations
- Excellent analytical and problem-solving abilities
- Proficient in compliance software (e.g., ComplySci, RiskCommand)
- Exceptional communication skills for stakeholder training