Job Description
Join Milwaukee's premier financial institution as a Senior Compliance Officer and lead our regulatory compliance initiatives. This high-impact role offers competitive compensation and the opportunity to shape our compliance framework while safeguarding our operations. You'll collaborate with executive leadership to ensure adherence to federal and state regulations, driving our commitment to ethical excellence.
We offer a comprehensive benefits package including health insurance, 401(k) matching, and professional development opportunities. If you're passionate about compliance and ready to advance your career in Milwaukee's thriving financial sector, apply today.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with SEC, FINRA, and state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Provide guidance to business units on regulatory requirements and best practices
- Prepare and submit regulatory filings and reporting documentation
- Investigate and resolve compliance violations with appropriate corrective actions
- Stay current on evolving financial regulations and industry trends
- Train staff on compliance policies and procedures
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 24, 26, or 27 certifications required
- Deep knowledge of federal and Wisconsin state financial regulations
- Experience with compliance monitoring systems and reporting tools
- Strong analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Ability to thrive in a fast-paced, regulated environment