Job Description
Join Milwaukee Financial Partners as a Senior Compliance Officer and lead our regulatory excellence initiatives. We're seeking a detail-oriented professional to ensure adherence to federal and state regulations while driving our compliance culture forward. This high-impact role offers competitive compensation and opportunities for career growth in Milwaukee's thriving financial sector.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and Wisconsin state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Provide guidance to business units on regulatory requirements and policy updates
- Manage regulatory reporting and documentation for audits
- Collaborate with legal team on compliance-related investigations
- Train staff on compliance procedures and regulatory changes
- Monitor industry trends to update compliance frameworks
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7 and 24 certifications required
- Expert knowledge of federal and Wisconsin state regulations
- Strong analytical and problem-solving skills
- Experience with compliance management software
- Excellent communication and presentation abilities
- Professional certification (CRCM, CAMS) preferred