Compliance Officer for Financial Services Industry, Milwaukee

Compliance Officer for Financial Services Industry

4 Days Old

WestPoint Financial Group, a full-service financial services firm, is looking for a highly detailed professional to join our compliance team. This position plays an integral role on a team of compliance supervisory officers and ensures our firm and associates comply with industry guidelines and regulations. The ideal candidate for this role will be skilled in managing deadlines, multi-tasking, prioritization and must be a highly proficient communicator.

Please note: You must currently hold FINRA S24 (or 9 &10)

Core Job Responsibilities:

Conduct inspections of affiliated offices and producer interviews and complete required documentation
Monitor and enforce disciplinary actions and tailored supervision arrangements
Review and monitor advisor transactions, correspondence, sales material and business practices per industry and company guidelines
Approve and monitor outside business activities
Document advisor onboarding and offboarding
Participate in firm inspections and regulatory audits
Training and education
Additional duties assigned by supervisor
Must maintain FINRA licenses noted below

This position is Full-Time and works from the Wauwatosa office. Salary is proportionate with qualifications and experience.

No immigration sponsorship available for this role.

Required Qualifications:

Series 7, 24 (or 9 and 10), 66 (or 63 and 65)
Bachelor's degree or equivalent combination of education and experience

Preferred Qualifications:

3+ years of professional experience in a similar role
Series 53 preferred, or must pass within 120 days of employment

WestPoint Financial Group is dedicated to bringing financial wisdom and clarity in a world of infinite information. Our associates are highly competent professionals, respected for their precise expertise, product knowledge and commitment to professional growth. Our stringent code of ethics places the client's needs above all others and demands uncompromising integrity in every aspect of our business conduct.

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Location:: Milwaukee
Job Type:: FullTime

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