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

Benefits:

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

Schedule:

• Monday to Friday

Supplemental pay types:

• Bonus pay

Interested candidates should email: sarah@wealthplan.group