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
