Job Description
Join our dynamic team as a Compliance Officer in Lincoln, NE! We're urgently seeking a detail-oriented professional to ensure regulatory adherence across all financial operations. This pivotal role offers competitive compensation, comprehensive benefits, and career growth opportunities in a supportive environment.
Responsibilities
- Monitor and enforce federal/state regulatory compliance (FINRA, SEC, AML)
- Conduct internal audits and risk assessments
- Develop/implement compliance policies and training programs
- Investigate potential violations and prepare reports
- Collaborate with legal, HR, and department heads
- Stay updated on regulatory changes
Qualifications
- Bachelor's degree in Finance/Business/Law
- 3+ years compliance/regulatory experience
- FINRA Series 63/65/66 licenses preferred
- Strong analytical and documentation skills
- Proficiency in compliance software (e.g., Compliance.ai)
- Certified Regulatory Compliance Manager (CRCM) a plus