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.
- 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) 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: firstname.lastname@example.org