Vice President Compliance

A growing financial services firm in Milwaukee is looking for a new VP‑Compliance to join their team. This role will have a direct line to the CEO and will also get to work remote two days/week!

• Work closely with department heads and other management-level staff to establish compliance priorities and update policies
• Plan and execute compliance programs to ensure that company operations are adhering to relevant federal, state, and local laws
• Develop guidelines for internal compliance audits of various company operations to see whether proper protocols and procedures are followed, identify problems, and suggest ways for improvement
• Stay up to date on the latest regulatory changes within the industry and update our compliance procedures accordingly
• Manage a comprehensive compliance strategy aligned with our company's growth objectives and risk tolerance.

• Bachelors Degree in Accounting, Finance, or related field
• SEC, NFA, and AML experience required
• 10+ years of compliance experience
• Financial Services/Investment company experience required

Equal Opportunity Employer/Veterans/Disabled

The Company will consider qualified applicants with arrest and conviction records.