Top 3 Compliance officer Jobs in Pewaukee, Wi

Chief Compliance Officer
Crabel Capital Management, LLC —Milwaukee, WI
- $150,000 - $250,000 a year
- Office
- Analysis skills
- Bachelor's degree
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Director of Compliance
NEXT DOOR FOUNDATION INC —Milwaukee, WI
- Full-time
- 5 years
- Office
- Microsoft Office
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Chief Compliance Officer

Crabel Capital Management, LLC
Milwaukee, WI

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Job Details

$150,000 - $250,000 a year

Qualifications

Securities & Exchange Commission
Experience at asset management companies
Securities law compliance support experience
Bachelor's degree
Securities law
Senior leadership

Full Job Description

The Chief Compliance Officer (CCO) is responsible for the design, implementation, and ongoing administration of the firm's compliance program across both its CFTC/NFA and SEC regulatory obligations. The CCO advises senior management on regulatory matters and fosters a strong culture of compliance throughout the organization. This role reports directly to senior management and has regular interaction with the firm's principals, operations, trading, and legal functions.

Responsibilities include, but are not limited to

Own and administer the firm's compliance program, including annual review and testing under the NFA self-examination questionnaire and Advisers Act Rule 206(4)-7.
Manage all CFTC/NFA obligations, including CPO-PQR, CTA-PR, disclosure documents, exemption filings, bylaw 1101 diligence, and NFA registration and principal/AP licensing matters.
Manage all SEC regulatory filings and obligations, including Form ADV, Form PF, Form 13F/13H, Section 16 and 13D/G monitoring, and compliance with the Marketing Rule (206(4)-1).
Maintain and enforce the Code of Ethics, including personal trading, gifts and entertainment, outside business activities, and political contributions.
Oversee trade surveillance and market conduct monitoring across futures and FX, including position limits, large trader reporting, and exchange/SEF rule compliance.
Serve as primary point of contact for regulatory examinations, inquiries, and audits by the CFTC, NFA and SEC; manage responses and remediation.
Administer the firm's AML/KYC program and sanctions (OFAC) screening in coordination with investor relations and fund administrators.
Review marketing materials, investor communications, due diligence questionnaires, and offering documents for regulatory compliance.
Monitor regulatory developments in both regimes; assess impact and update policies, procedures, and controls accordingly.
Deliver firm-wide compliance training and annual certifications; advise employees on compliance questions.
Oversee compliance aspects of counterparty, vendor, and service-provider relationships, including FCMs, prime brokers, and administrators.
Report regularly to senior management on the state of the compliance program, material risks, violations, and remediation.

Compensation & Benefits:

The estimated base salary range for this position is $150,000-$250,000. The final salary within this range will be based on qualifications, experience, and other factors. Total compensation includes the opportunity to participate in a discretionary bonus plan and a comprehensive benefits program.

Qualifications

Minimum of 10 years of compliance experience in the asset management industry, with substantial hands-on experience under both the CFTC/NFA and SEC regulatory regimes.
Prior experience as a CCO, deputy CCO, or senior compliance officer at a CPO/CTA and/or registered investment adviser.
Deep working knowledge of the Commodity Exchange Act, Investment Advisers Act, CFTC regulations, and NFA rules.
Direct experience managing CFTC, NFA, and/or SEC examinations and regulatory inquiries.
Bachelor's degree required.
Strong judgment, discretion, and the ability to communicate regulatory requirements clearly to trading, technology, and business personnel.

What You'll Need to be Successful

A hands-on willingness to participate at all levels and get the job done.
Strong team player with a loyal cooperative spirit.
Able to adapt to frequent changes in the business operating environment.
High level of integrity and the capacity to work under tight deadlines with a strong results orientation.
Self-starter with ability to handle multiple priorities.
Demonstrated analytical skills and a commitment to high quality, detailed work.
Ability to work out of our Milwaukee office periodically (Ex. once a week, on Wednesdays)

Crabel is committed to attracting and retaining employees from diverse backgrounds and fostering an inclusive, supportive environment. We value the differences of all individuals and believe in creating an environment where all employees can thrive.

Quick Apply

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