Job Description
Join our dynamic compliance team in Milwaukee and receive a $15,000 sign-on bonus! We're seeking a dedicated Compliance Officer to ensure regulatory adherence and mitigate risks across financial operations. This role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Responsibilities
- Monitor regulatory changes and implement compliance policies for FINRA, SEC, and state regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare and submit regulatory reports to governing bodies
- Train staff on compliance protocols and regulatory updates
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and audit teams on compliance initiatives
- Maintain accurate compliance documentation and reporting systems
Qualifications
- Bachelor's degree in Finance, Business, or related field required
- 3+ years of compliance experience in financial services
- FINRA Series 7 and Series 63/66 licenses preferred
- Strong knowledge of federal/state regulations (Dodd-Frank, AML, etc.)
- Excellent analytical and problem-solving skills
- Ability to manage multiple priorities in a fast-paced environment
- Proficient in compliance software and MS Office Suite