About this opportunity
LHH lists this Vice President Compliance opportunity in milwaukee, Wisconsin. Review the employer’s description below for duties, qualifications and application requirements.
Job description
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
The Company will consider qualified applicants with arrest and conviction records.
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Worksite address
milwaukee, WI, 53244, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.