Job Description
Join Milwaukee Financial Group as a Part-Time Compliance Officer and play a pivotal role in maintaining regulatory integrity within our dynamic financial services environment. This position offers flexible hours (20-25 hrs/week) while allowing you to make significant contributions to our compliance framework. We provide comprehensive training, competitive compensation, and a supportive culture that values professional growth. Ideal for candidates seeking work-life balance without compromising impact.
Responsibilities
- Monitor regulatory updates and ensure adherence to federal (FINRA, SEC) and state compliance requirements
- Conduct periodic risk assessments and internal control testing
- Prepare and maintain compliance documentation, policies, and training materials
- Investigate and resolve compliance incidents with thorough documentation
- Collaborate with department heads on compliance initiatives and process improvements
- Stay current on AML, KYC, and anti-fraud regulations
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 2+ years compliance/regulatory experience in financial services
- Strong knowledge of FINRA, SEC, and Wisconsin state regulations
- Excellent analytical and problem-solving abilities
- Proficient in compliance software and MS Office Suite
- Detail-oriented with exceptional organizational skills
- Ability to work independently with minimal supervision