Job Description
Join Madison Financial Solutions as a Compliance Officer and experience the stability of weekly pay! We're seeking a detail-oriented professional to ensure regulatory adherence while enjoying Madison's vibrant work culture. This role offers competitive compensation with bi-weekly payouts, comprehensive benefits, and opportunities for professional growth in the heart of Wisconsin's financial hub.
Responsibilities
- Develop and implement compliance programs aligned with federal/state regulations (FINRA, SEC, etc.)
- Conduct risk assessments and internal audits for financial products/services
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain documentation trails
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- FINRA Series 63/65/66 or equivalent certifications
- Proficiency with compliance software (e.g., Compliance.ai, Adenza)
- Strong knowledge of federal/state financial regulations
- Exceptional analytical and problem-solving skills
- Ability to thrive in a fast-paced, deadline-driven environment