Job Description
Join our dynamic team in Lincoln, NE as a Compliance Officer and become a guardian of regulatory excellence! At Lincoln Financial Services, we're committed to upholding the highest standards of integrity and compliance in the financial services industry. This pivotal role offers the opportunity to shape our compliance framework while making a tangible impact on our community. Enjoy a collaborative environment with competitive benefits, professional development opportunities, and the chance to work with industry leaders. If you're passionate about regulatory adherence and ethical practices, we invite you to apply today and grow your career with us!
Responsibilities
- Monitor and interpret federal, state, and local regulations to ensure organizational compliance
- Develop, implement, and maintain compliance policies and procedures
- Conduct regular audits and risk assessments to identify compliance gaps
- Train employees on compliance requirements and ethical practices
- Investigate and resolve compliance violations with appropriate corrective actions
- Liaise with regulatory agencies and legal counsel on compliance matters
- Prepare comprehensive compliance reports for senior leadership
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and state regulations
- Certified Compliance & Ethics Professional (CCEP) preferred
- Exceptional analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Proficiency with compliance management software
- Ability to handle sensitive information with discretion