Filled! — WealthPlan Partners (Omaha, NE) Seeking CCO & OSJ

A Multi-Office Registered Investment Advisor headquartered in Omaha, NE is seeking a Compliance Officer and OSJ.

This role will be responsible for administering compliance policies and procedures in all areas of the company.

Responsibilities will include but not be limited to:

  • Oversight, maintenance, and ongoing implementation of all compliance policies and procedures for brokerage and advisory business.
  • Maintain all books and records for the Registered Investment Advisor and as an Office of Supervisory Jurisdiction for the broker dealer.
  • Assist with FINRA, SEC or other Regulatory required responses.
  • Conduct home and branch audits and, if necessary, assist with responding to SEC and FINRA audits.
  • Conduct or assist in the ongoing regulatory oversight and supervision of all firm personnel and notably registered representatives and/or Advisors.
  • Maintain oversight of most aspects of Advisor Supervision, including brokerage and advisory supervision.
  • Assist in the development and monitoring of performance metrics that assess compliance and implement any necessary improvements.
  • Maintain ongoing understanding and familiarity with all relevant regulatory changes to ensure firm remains compliant and to update firm’s policies and procedures as appropriate.
  • Help to manage individual and firm registration requirements.
  • Monitor licensing and continuing education requirements
  • Help with, or manage the ongoing review of the outside securities accounts and personal trading of all company access individuals.
  • Assist with the creation and fulfillment of all annual attestations as necessary.
  • Assist with the review and ongoing guidance for all advertising and communications, including maintaining a strong familiarity of regulatory standards for Social Media use by registered individuals.
  • Assist with form ADV filings and updates.
  • Assist with maintenance of privacy policies.
  • Assist with the Annual Review of the Registered Investment Advisor.
  • Work with our Financial Advisors on a daily basis to help them with their compliance related inquiries and regulatory obligations.

Experience Required:

  • 3 years of compliance experience, preferably with a Registered Investment Advisor or similar financial industry
  • Experience supervising Financial Advisors (Registered Representatives and/or Investment Advisor Representatives)
  • Series 24 & 65 Required
  • NE Life & Heath Required (Or obtained in first 60 days)
  • Series 7 & 63/65 preferred
  • Clean background, credit, & U4
  • Strong initiative and ability to work independently
  • Excellent interpersonal skills
  • Knowledge of SEC and FINRA rules and regulations
  • Strong motivation to learn and gain excellent experience in the industry

Job Type: Full-time

Salary: $90,000.00 – $120,000.00 per year


  • 401(k)
  • 401(k) matching
  • Dental insurance
  • Health insurance
  • Health savings account
  • Life insurance
  • Paid time off
  • Parental leave


  • Monday to Friday

Supplemental pay types:

  • Bonus pay


Interested candidates should email: