Job Description
SecureTrust Financial Services is urgently seeking a dedicated Compliance Officer to join our dynamic team in Lincoln, NE. As a Compliance Officer, you will play a critical role in ensuring our organization adheres to all regulatory requirements and internal policies. This is a full-time position offering a competitive salary and benefits package.
Your primary responsibility will be to monitor and assess compliance risks, develop and implement compliance programs, and provide guidance to employees on regulatory matters. You will work closely with various departments to ensure compliance with federal and state regulations, including but not limited to the SEC, FINRA, and other relevant bodies.
If you are detail-oriented, proactive, and passionate about maintaining high standards of compliance, we encourage you to apply today. SecureTrust Financial Services is an equal opportunity employer and values diversity in the workplace.
Responsibilities
- Monitor and assess compliance risks within the organization and recommend corrective actions.
- Develop, implement, and maintain effective compliance programs and policies.
- Stay updated on regulatory changes and ensure the organization's compliance with all applicable laws and regulations.
- Conduct regular compliance training for employees to ensure understanding of regulatory requirements.
- Investigate and resolve compliance issues and report findings to senior management.
- Collaborate with internal audit and other departments to promote a culture of compliance.
- Prepare and submit required compliance reports to regulatory bodies as needed.
Qualifications
- Bachelor's degree in Finance, Business, Law, or a related field; Master's degree preferred.
- Minimum of 3 years of experience in compliance, risk management, or a related role within the financial services industry.
- Strong knowledge of federal and state regulations, including SEC, FINRA, and other relevant bodies.
- Excellent analytical, problem-solving, and decision-making skills.
- Ability to interpret complex regulations and communicate effectively with all levels of the organization.
- Proficiency in compliance management software and Microsoft Office Suite.
- Professional certifications such as CRCM, CAMS, or CCEP are highly desirable.