Compliance Officer

Position Overview:

Packerland Brokerage Services, a broker dealer servicing financial advisors, has added a position and is seeking a bright and talented Compliance Officer to join our growing team. We foster an engaging and collaborative environment and focus on personal growth, education, and individual development. Our welcoming and friendly work atmosphere has resulted in an inclusive, energetic, and respectful team culture. Packerland Brokerage Services has a diverse workforce, competitive benefits, and a 28-person team that enjoys its time together inside and outside of the office.

If our Compliance Officer role sounds like a challenge you would be interested in, we would love to meet you to discuss it in more detail.

Key Accountabilities for the role will include the following:

• Maintaining a system of supervision that adheres to, tests, and enforces the Written Supervisory Procedures of Packerland, working directly with the various internal departments as well as externally with the Firm’s representatives and OSJ Groups.
• Establishing, reviewing, and maintaining the firm's Broker Dealer policies and procedures in accordance with changing industry regulations, regulatory exams, and Firm testing.
• Providing support for the onboarding of new representatives as well as continued support for current representatives of Packerland through training programs and other educational resources.
• Conducting initial and ongoing reviews, as well as ongoing supervision and monitoring, of all written and electronic communications with the public.
• Work with other Compliance personnel to execute the firm's branch inspection program, including the enforcement of corrective action as well as assisting with the continued development of the process. Some travel may be required.
• Serve as a member of the Product Review Committee, vetting and approving new products as well as conducting on-going reviews of previously approved products.

Qualifications

Education

College degree preferred but not required in lieu of experience

Experience

A minimum of three years’ Securities or Banking industry experience, in a compliance capacity or similar

Licenses:

Required: Series 7, 24, 63

Preferred but not immediately required: Series 65 or 66

Skills

• Analytical and practical thinking, including the ability to interpret policies, procedures as well as identify problems, research, and analyze issues from different perspectives
• Excellent verbal and written communication, including speaking clearly and persuasively to individuals and groups as well as writing correspondence and reports in a clear, concise, logical, and grammatically correct manner
• Experience with reporting and audit coordination
• Excellent organizational skills, including the ability to prioritize work and work with others to meet deadlines and desired results
• Inspire trust and work with integrity and ethically
• Attentive to detail and thoroughness
• Ability to manage your time and self-direct your work
• Comfortable using MS Office, DocuSign and relational databases

About Packerland Brokerage Services, Inc

Founded in 1994 and located in Green Bay, WI, Packerland Brokerage Services is a Broker-Dealer and Registered Investment Adviser with the Securities & Exchange Commission (SEC). Packerland supports independent financial advisers nationwide and empowers them to grow and manage successful independent businesses.

What we stand for: These core values are at the heart of everything we do here at Packerland. We are:

• Transparent and straightforward.
• Hardworking and dependable.
• Nimble and resourceful.
• Down to earth and customer focused.
• Reasonable and make decisions with common sense.

What we believe in:

PROMOTING INDEPENDENCE. EMPOWERING INDEPENDENTS.

At Packerland Brokerage Services, we live and breathe by this tagline. This simple statement represents our daily commitment to give our independent registered representatives choices.

If you feel you meet these requirements, please email your resume and salary requirements to jobs@packerlandbrokerage.comwith the subject line Compliance Officer Role.

Job Type: Full-time

Pay: $65,000.00 - $75,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Employee assistance program
• Flexible spending account
• Health insurance
• Life insurance
• Paid time off
• Professional development assistance
• Referral program
• Retirement plan
• Tuition reimbursement

Schedule:

• 8 hour shift
• Monday to Friday

Ability to commute/relocate:

• Green Bay, WI 54313: Reliably commute or planning to relocate before starting work (Required)

License/Certification:

• Series 7 (Required)
• Series 63 (Required)

Work Location: Hybrid remote in Green Bay, WI 54313

Salary : $65,000 - $75,000