Compliance Officer - Corporate Compliance
$31,200–$31,200 year
HybridMilwaukee, Wisconsin, United States
Job Summary
Oversee key compliance processes for associate training, regulatory questionnaires, and disclosure requirements while serving as a trusted advisor on firm policies and regulatory obligations. Address compliance-related inquiries for associates and business partners, supporting the identification, investigation, and resolution of potential compliance risks. Track progress on training and disclosure responsibilities, escalate outstanding requirements, and monitor associate disclosures. Collaborate with Compliance Analytics and IT teams to develop workflows and implement process enhancements. Provide assistance on compliance issues and actively participate in ad-hoc projects led by the Corporate Compliance team. This role requires strong knowledge of FINRA and SEC regulations and offers flexibility with three days in the Milwaukee office and two days remote.
Required Qualifications
- 3-5 years of compliance or financial services experience
- Bachelor's degree or equivalent of education and work experience
- Proficient with technology including Microsoft Office products (especially Word and Excel)
- Exceptional organizational and work-flow management skills, with strong attention to detail
- Demonstrated ability to handle difficult situations with candor and professionalism across all levels of the organization, both verbal and written
- Ability to collaborate across multiple groups and manage multiple priorities simultaneously
- 3 days per week in our Milwaukee office and 2 days remote
Desired Qualifications
- broker-dealer and/or investment advisor preferred
- Prior Registrations experience preferred
- SIE, Series 7, 24 preferred
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