Packerland Brokerage Services, a Broker-Dealer and Registered Investment Adviser with representatives and advisors across the country, is seeking a talented and motivated Compliance Officer to join our growing team.

We foster an engaging and collaborative environment that emphasizes personal growth, continuous learning, and professional development. As a firm, we are committed to maintaining the highest standards of regulatory compliance, ethical conduct, and client-focused service, and we view compliance as a strategic partner in achieving those goals. Our team is committed to maintaining a culture built on integrity, respect, and teamwork, where employees are encouraged to contribute ideas, expand their expertise, and support the success of our advisors and clients.

Packerland Brokerage Services offers competitive benefits and a workplace where colleagues genuinely enjoy working together. We take pride in cultivating a welcoming, supportive environment where employees can build rewarding careers, develop meaningful professional relationships, and contribute to the firm's continued growth and success.

If you're looking for an opportunity to make a meaningful impact with a respected and growing financial services firm, we'd welcome the opportunity to learn more about you and discuss how you can contribute to our team.

Key Accountabilities for the role will include the following:

1. 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.

2. Establishing, reviewing, and maintaining the firm's Broker Dealer policies and procedures in accordance with changing industry regulations, regulatory exams, and Firm testing.

3. 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.

4. Conducting initial and ongoing reviews, as well as ongoing supervision and monitoring, of all written and electronic communications with the public.

5. Working 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.

6. Serving 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 the MS Office suite of products, navigating the internet, and learning various local and wed-based applications related to compliance functions

About Packerland Brokerage Services, Inc

Founded in 1994 and located in Green Bay, WI, Packerland Brokerage Services is a Broker-Dealer (FINRA Member) and Registered Investment Adviser with the Securities & Exchange Commission (SEC). Packerland supports independent registered representatives and financial advisors 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.

Details & Benefits

Job Type

Full-time

Pay

$70,000.00 - $80,000.00

Benefits

Simple IRA
Simple IRA matching
Employee assistance program
Flexible schedule
Flexible spending account
Health insurance reimbursement
Health savings account
Life insurance
Paid time off
Professional development assistance
Referral program

Schedule

8-hour shift
Day shift
Monday through Friday (remote or hybrid model – 3 days in office, 2 days remote)

Supplemental Pay

Bonus opportunities

Work location

Remote or Hybrid remote in Green Bay, WI 54313

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

Job Type: Full-time

Pay: $70,000.00 - $80,000.00 per year

Benefits:

Employee assistance program
Flexible schedule
Flexible spending account
Health insurance
Health savings account
Life insurance
Paid time off
Parental leave
Professional development assistance
Referral program
Retirement plan
Tuition reimbursement

License/Certification:

Series 24 (Required)
Series 7 (Required)
Series 63 (Required)

Work Location: Hybrid remote in Green Bay, WI 54313

Packerland Brokerage Services

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