Job Description
Join our dynamic team as a Compliance Officer in Lincoln, NE! We're seeking a detail-oriented professional to ensure regulatory adherence and implement robust compliance frameworks. Enjoy competitive compensation, comprehensive benefits, and opportunities for career growth in a supportive environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations
- Conduct regular risk assessments and internal audits
- Investigate and resolve compliance violations through corrective action plans
- Train staff on regulatory requirements and best practices
- Prepare detailed compliance reports for senior leadership
- Collaborate with legal and business teams on policy updates
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/regulatory experience
- Knowledge of FINRA, SEC, and Nebraska state regulations
- Strong analytical and problem-solving skills
- Excellent written/verbal communication abilities
- Professional certifications (CRCM, CAMS) preferred