Job Description
Join our dynamic team as a Compliance Officer at Omaha Financial Services, where integrity meets innovation. We're seeking a dedicated professional to safeguard our operations against regulatory risks while fostering a culture of ethical excellence. This pivotal role offers the opportunity to shape compliance frameworks that protect our clients and drive sustainable growth in the heart of Nebraska's financial hub.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with federal regulations (e.g., FINRA, SEC)
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Train staff on regulatory updates and compliance protocols
- Collaborate with legal teams on regulatory filings and reporting
- Monitor legislative changes and advise on compliance implications
Qualifications
- Bachelor's degree in Finance, Business, or related field required
- 3+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) preferred
- Strong knowledge of AML, KYC, and Dodd-Frank regulations
- Exceptional analytical and problem-solving abilities
- Advanced proficiency in compliance management software