VP-Compliance in Milwaukee
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!
Responsibilities:
- 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.
Requirements:
- 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
To read our Candidate Privacy Information Statement, which explains how we will use your information, please visit https://www.lhh.com/us/en/privacy-policy
The Company will consider qualified applicants with arrest and conviction records.
Vice President Compliance in Greater Milwaukee at LHH
This position is listed as full time and able to be worked remotely. It was posted 5 days ago.