Job Description
Join our dynamic compliance team in Lincoln, NE! Lincoln Financial Services is seeking a meticulous Compliance Officer to safeguard regulatory adherence and drive ethical standards. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, state laws)
- Conduct internal audits and compliance assessments
- Develop/update compliance policies and procedures
- Train staff on regulatory requirements and best practices
- Investigate and resolve compliance violations
- Prepare compliance reports for senior management
- Collaborate with legal and audit teams
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/regulatory experience
- FINRA Series 7, 24, or 27 certifications preferred
- Strong knowledge of financial regulations
- Exceptional analytical and problem-solving skills
- Proficient in compliance software and MS Office
- Excellent written/verbal communication abilities