Job Description
Join ComplianceGuard Solutions as a Remote Compliance Officer and become a guardian of integrity in our dynamic financial services firm. Based in Milwaukee with full remote flexibility, you'll ensure adherence to federal regulations while driving ethical business practices. We offer competitive compensation, comprehensive benefits, and a culture that values work-life balance. Your expertise will directly shape our compliance framework and protect our clients' interests in an evolving regulatory landscape.
Responsibilities
- Develop and implement compliance monitoring programs across financial transactions
- Conduct risk assessments for new products and market activities
- Prepare detailed regulatory reports for FINRA, SEC, and state authorities
- Train staff on updated compliance protocols and regulatory changes
- Manage internal investigations and remediation processes
- Collaborate with legal and audit teams on compliance initiatives
- Stay current on Wisconsin state-specific financial regulations
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- FINRA Series 24/26 or equivalent securities license
- Deep knowledge of federal/state banking regulations
- Strong analytical and investigative skills
- Experience with compliance software (e.g., ComplySci, Adenza)
- Exceptional written/verbal communication abilities
- Proven remote work adaptability and self-management