Vice President Compliance

LHH; Milwaukee (WI); Hybrid; USD 180,000 - 240,000; Full time

Job summary

The Milwaukee-based financial services firm seeks a VP of Compliance to lead the program, report directly to the CEO, and guide policy across the organization. This role offers remote work two days per week.

You will oversee regulatory updates, internal audits, and ongoing compliance monitoring for federal, state, and local requirements, with a strong focus on governance and risk management.

Qualifications

• Bachelor's degree in accounting, finance, or related field.
• SEC, NFA, and AML experience required.
• 10+ years of compliance experience.
• Financial Services/Investment company experience required.

Responsibilities

• Establish compliance priorities with department heads and update policies.
• Plan and execute compliance programs to ensure operations meet laws.
• Develop guidelines for internal compliance audits to identify problems and improvements.
• Stay up to date on regulatory changes and update procedures accordingly.
• Manage a comprehensive compliance strategy aligned with growth objectives and risk tolerance.

Skills

SEC experience

NFA experience

AML experience

10+ years compliance experience

Education

Bachelor's Degree in Accounting, Finance, or related field

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.