Vice President Compliance
lhhMilwaukee, WI
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 fieldSEC, 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.
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Level
Manager L7
Location
Milwaukee, WI
Occupation
Compliance Managers
Industry
Miscellaneous Financial Investment Activities
Posted
9 days ago