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 mitigate risks in our financial services operations. This pivotal role combines analytical rigor with strategic thinking to maintain our industry-leading compliance standards. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Responsibilities
- Monitor regulatory changes (FINRA, SEC, NFA) and implement updated compliance protocols
- Conduct internal audits and risk assessments across business units
- Develop and deliver compliance training programs for 200+ employees
- Investigate and resolve compliance violations through root cause analysis
- Prepare detailed reports for executive leadership and regulatory bodies
- Collaborate with legal department on policy updates and enforcement strategies
- Manage compliance documentation and retention systems
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- FINRA Series 7, 63, and 24 certifications required
- Advanced knowledge of AML, KYC, and Dodd-Frank regulations
- Proficiency with compliance software (e.g., Fiserv, NICE Actimize)
- Strong analytical and investigative skills
- Excellent written/verbal communication abilities
- Experience with SOX 404 controls implementation