Job Description
Join our dynamic team as a Part-Time Compliance Officer and help us maintain regulatory excellence in Milwaukee's thriving financial sector. This role offers flexible hours while ensuring adherence to federal and state regulations. You'll play a crucial role in safeguarding our organization's integrity and reputation through meticulous monitoring and reporting. Perfect for detail-oriented professionals seeking impactful part-time work.
Responsibilities
- Monitor regulatory changes and update compliance policies accordingly
- Conduct internal audits and risk assessments for financial operations
- Prepare and submit regulatory reports to FINRA/SEC/DFA
- Train staff on compliance protocols and regulatory updates
- Investigate and resolve compliance violations
- Maintain accurate compliance documentation and records
- 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 63/66 or equivalent certification preferred
- Proficiency in compliance software (e.g., ComplianceEase, OnBase)
- Strong knowledge of FINRA, SEC, and Wisconsin state regulations
- Exceptional attention to detail and analytical skills
- Ability to work independently with minimal supervision