Job Description
Join our award-winning financial services firm as a Senior Compliance Officer in Milwaukee. Lead critical regulatory initiatives, shape compliance frameworks, and safeguard our operations in a dynamic industry. This high-impact role offers competitive compensation, comprehensive benefits, and opportunities for career advancement. Work in a collaborative environment where your expertise drives organizational excellence and regulatory adherence.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal (SEC, FINRA) and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Advise leadership on regulatory changes and mitigation strategies
- Manage AML/BSA monitoring and reporting processes
- Train staff on compliance policies and regulatory requirements
- Coordinate with external auditors and regulatory bodies
- Prepare detailed compliance reports for executive stakeholders
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's 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 Wisconsin state laws
- Advanced experience with AML/BSA monitoring tools and systems
- Strong analytical skills and attention to detail
- Excellent written and verbal communication abilities