Job Description
Join our innovative team as a Remote Compliance Officer in Milwaukee, WI! We're seeking a detail-oriented professional to ensure regulatory adherence while enjoying flexible work arrangements. This hybrid role offers competitive compensation, comprehensive benefits, and opportunities for career growth in a supportive environment. Help us maintain ethical standards and mitigate risks in the financial services sector.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (FINRA, SEC, etc.)
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare regulatory filings and manage documentation requirements
- Train staff on compliance policies and regulatory changes
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and business units on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- 5+ years in compliance/regulatory role with financial services focus
- Strong knowledge of FINRA, SEC, and Wisconsin state regulations
- Advanced proficiency in MS Office and compliance management software
- Certified Compliance & Ethics Professional (CCEP) preferred
- Exceptional analytical and problem-solving abilities
- Excellent written/verbal communication skills