Job Description
Join our dynamic team as a Compliance Officer in Madison, WI and enjoy the benefit of weekly pay. You will be responsible for ensuring our organization adheres to federal, state, and local regulations while maintaining ethical standards. This role offers competitive compensation and the opportunity to make a significant impact in a growing financial services firm.
Responsibilities
- Monitor regulatory changes and implement updated compliance procedures
- Conduct internal audits and risk assessments across all departments
- Develop and deliver compliance training programs for staff
- Investigate and resolve compliance violations with corrective actions
- Prepare detailed compliance reports for executive leadership
- Collaborate with legal counsel on regulatory matters
- Maintain accurate compliance documentation and records
Qualifications
- Bachelor's degree in Finance, Business, or related field required
- 3+ years of compliance/regulatory experience
- Strong knowledge of FINRA, SEC, and state banking regulations
- Excellent analytical and problem-solving abilities
- Proficient in compliance management software
- Strong written and verbal communication skills
- Professional certification (CRCM/CCEP) preferred