Compliance/Supervision Consultant.

Compliance/Supervision Consultant. (Milwaukee, WI, 53202) | 04/27/26

Easy Apply Job Description Job Description:

At the core of this role you'll be supporting our advisors and clients in reviewing different investment transactions (new accounts, subsequent transactions, monitoring trades) to make sure we are in compliance with regulations and company policies. Don't worry, we're ready and able to teach you about compliance regulations and company policies that shape our work. What we need from you is a desire to learn the technical subjects and combine that knowledge with the capabilities and experience you bring to the table. What makes you a great fit for our team? Thrive as a self-directed learner with a strong sense of ownership and accountability Move quickly with enough due diligence to work with and around limited information Learn, take risks, and be open to feedback as part of personal learning and development What are the must haves for this role? Bachelor's degree 2-3 years of financial industry experience Series 7/24 registrations Experience with Microsoft word/excel, adobe, & SharePoint Advertising compliance experience preferred