Job Description
Join our dynamic team immediately as a Compliance Officer in Lincoln, NE! We're urgently seeking a detail-oriented professional to safeguard our operations against regulatory risks. This is a critical role with competitive compensation and growth opportunities. Don't miss your chance to make an impact in a fast-paced financial environment.
Responsibilities
- Develop and implement internal compliance programs aligned with federal/state regulations
- Conduct regular audits to ensure adherence to FINRA/SEC guidelines
- Investigate and resolve compliance violations with actionable reports
- Train staff on updated regulatory requirements and ethical standards
- Collaborate with legal and risk management teams on policy updates
- Monitor industry trends to proactively address emerging risks
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- Strong knowledge of FINRA, SEC, and state regulations
- Excellent analytical and problem-solving skills
- Ability to manage multiple deadlines in a regulated environment
- Certified Regulatory Compliance Manager (CRCM) preferred