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

September 7, 2023A 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 requirementsHelp 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 industryExperience supervising Financial Advisors (Registered Representatives and/or Investment Advisor Representatives)Series 24 & 65 RequiredNE Life & Heath Required (Or obtained in first 60 days)Series 7 & 63/65 preferredClean background, credit, & U4Strong initiative and ability to work independentlyExcellent interpersonal skillsKnowledge of SEC and FINRA rules and regulationsStrong motivation to learn and gain excellent experience in the industryJob Type:

Full-timeSalary:

$90,000.00 – $120,000.00 per year

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