Job Description
Join our dynamic team as a Compliance Officer in Omaha, NE, where you'll safeguard our organization's integrity in a rapidly evolving regulatory landscape. We're seeking a detail-oriented professional to implement robust compliance frameworks, ensuring adherence to federal and state regulations while fostering a culture of ethical excellence. Enjoy competitive compensation, comprehensive benefits, and career growth opportunities in one of America's most vibrant financial hubs.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory updates and internal compliance protocols
- Investigate potential violations and recommend corrective actions
- Collaborate with legal, risk, and business units to ensure cohesive compliance strategy
- Stay current on industry regulations through continuous research and professional development
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Strong knowledge of FINRA rules, SEC regulations, and Nebraska state compliance requirements
- Professional certifications (CRCM, CAMS, or CCEP) highly valued
- Exceptional analytical skills with attention to detail and accuracy
- Proven ability to interpret complex regulatory documents
- Excellent communication skills for training and reporting
- Experience with compliance management software (e.g., RSA Archer, LogicGate)