Job Description
Join our elite compliance team at Apex Financial Solutions, a leading Milwaukee-based financial institution. We're seeking a detail-oriented Senior Compliance Officer to drive regulatory excellence in our dynamic environment. This high-impact role offers competitive compensation, comprehensive benefits, and opportunities for professional growth within a forward-thinking organization.
Responsibilities
- Develop and implement robust compliance programs aligned with federal (SEC, FINRA) and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Provide guidance on regulatory changes including Dodd-Frank, SOX, and AML requirements
- Train staff on compliance policies and procedures
- Collaborate with legal and executive teams on compliance initiatives
- Monitor regulatory filings and maintain compliance documentation
- Lead investigations into potential compliance violations
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Active CRCM or CCEP certification
- Expert knowledge of FINRA, SEC, and Wisconsin state regulations
- Strong analytical and risk assessment skills
- Exceptional written and verbal communication abilities
- Experience with compliance management software (e.g., OnBase, RSA Archer)
- Proven track record in developing compliance frameworks