Compliance Specialist

Description

Annex Wealth Management – Know the Difference 

Join Our Growing Team in Our New Headquarters in Brookfield (gym included)! 

Are you in search of an employer that prioritizes a positive culture and encourages outstanding teamwork? ‘Know the Difference’ applies to our employees too. We are a proud seven-time recipient of the Milwaukee Journal Sentinel's Top Workplaces Award. Our employees list our vibrant culture and engaged teams as two of our best features!  

Annex Wealth Management is a privately held, full-service advisory and wealth management firm acting as a fiduciary for individuals, families, and businesses. Our team approach means our clients consistently interact with a group of experienced professionals boasting key credentials, certifications, and achievements in investment, tax, insurance, estate planning, and more. 

Communication and Education are key to Annex Wealth Management’s growth. Check us out on YouTube, our multiple podcasts, “Money Talk” on WTMJ; “The Investment Show” on WISN; and “The Annex Wealth Management Show” on WHBY and WFSX. 

About the Role 

The Compliance Specialist will handle compliance testing, surveillance, and other related tasks. The ideal candidate should have compliance experience, strong analytical, interpersonal, and organizational skills to improve current processes. 

Key Responsibilities 

• Assist in creating sound internal controls and monitor adherence to them 
• Assist in exception reporting, SEC filings, and analysis of access person activities 
• Help draft and revise company policies 
• Proactively audit processes, practices and documents to identify weaknesses 
• Evaluate business activities to assess compliance risk 
• Collaborate with external auditors and HR when needed 
• Assist in plans to manage a crisis or compliance violation 
• Educate and train employees on regulations and industry practices 
• Serve as a resource and address employee concerns or questions on compliance issues 
• Develop working knowledge of various systems and business operations 

Who We Are 

At Annex Wealth Management, our values aren’t just words – they guide how we work every day: 

• Knowledge 
• Accountability 
• Integrity 
• Courage 
• Respect 
• Ownership 

Does this resonate with you? We're looking for positive, talented individuals who naturally embody these principles in their work and interactions. If you're ready to join a culture where these values are the foundation of everything we do, we'd love to hear from you. 

Requirements

What You’ll Need to Succeed 

• Required - a strong analytical skill set, with a high degree of confidence in excel and procedure writing 
• Required - 2-5 years of experience in a compliance role within the financial services industry 
• Proven experience in risk management 
• Excellent communication skills 
• Familiarity with industry practices and professional standards 
• Ability to maintain a high degree of confidentiality, integrity and professional ethics 
• Teamwork skills 
• Project management skills with the ability to prioritize and meet multiple deadlines  
• Strong organizational skills with a high level of attention to detail 
• Series 65 qualifications, or equivalent preferred (or willing to acquire in 120 days) 

Comprehensive Benefits 

We deeply value your leadership, talent, time, and commitment. In return, we offer a total rewards package designed to recognize and appreciate your contributions.  

This includes a comprehensive suite of: 

• Benefits: Our benefits package includes medical, dental, and vision insurance, as well as a 401(k) plan to help you secure your financial future 
• Life & Disability Insurance 
• Paid Time Off (PTO) 
• 401(k) Retirement Plan: Build your future with our 401(k) plan and employer contribution  
• Company Events: We believe in celebrating wins and creating connections – whether it’s through get togethers, our Annual Picnic, or company milestones 
• Opportunities for professional growth and development 
• Summer hours 

We are committed to providing an environment where you can thrive and achieve your full potential. 

Equal Employment Opportunity: Annex Wealth Management is an equal opportunity employer. We are committed to providing a work environment free from discrimination and harassment. All employment decisions are based on qualifications, merit, and business needs. We do not discriminate based on race, color, religion, national origin, sex, age, disability, genetic information, or any other protected status. We encourage applicants of all backgrounds to apply.