Job Description
Join Milwaukee Financial Partners as a Senior Compliance Officer and lead critical regulatory initiatives in our dynamic financial services environment. This high-impact role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in one of America's most vibrant cities. You'll safeguard our organization's integrity while shaping our compliance framework for future success.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (FINRA, SEC, Dodd-Frank)
- Conduct risk assessments and internal audits for financial products and services
- Advise senior leadership on regulatory changes and their operational impact
- Train staff on compliance policies and ethical standards
- Manage regulatory reporting requirements and examinations
- Collaborate with legal and audit teams to ensure cohesive risk management
- Lead investigations of compliance breaches and recommend corrective actions
Qualifications
- Bachelor's degree in Finance, Law, or related field; advanced degree preferred
- 7+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or CCEP designation
- Expert knowledge of FINRA rules, SEC regulations, and AML protocols
- Proven track record of designing compliance frameworks
- Exceptional analytical and problem-solving abilities
- Strong interpersonal skills for stakeholder collaboration
- Experience with compliance software (e.g., RSA Archer, MetricStream)