Job Description
Join our elite compliance team at Omaha Financial Solutions Inc. and become a guardian of regulatory excellence in the heart of the Midwest. We're seeking a seasoned Senior Compliance Officer to architect and implement robust compliance frameworks that protect our clients' assets while driving business growth. This high-impact role offers unparalleled career advancement opportunities in a dynamic financial services environment.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs adhering to federal (SEC, FINRA, CFPB) and state regulations
- Conduct high-stakes internal audits and risk assessments across investment operations and client services
- Lead regulatory examinations and coordinate with external auditors and legal counsel
- Create and deliver targeted compliance training for 200+ employees across 5 departments
- Advise executive leadership on emerging regulatory trends and mitigation strategies
- Manage compliance technology platforms and ensure data integrity across systems
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (MBA/JD preferred)
- 8+ years of compliance experience in financial services with 3+ years in leadership
- FINRA Series 7, 24, and 63/66 certifications required
- Expertise in Dodd-Frank, AML, and SEC regulations
- Advanced proficiency in compliance management software (e.g., Diligent, OneTrust)
- Proven track record of designing scalable compliance frameworks
- Exceptional analytical skills with attention to regulatory nuances