Compliance Officer jobs in Omaha, NE

*Only the most qualified candidates will be contacted

Are you a detail-driven professional with a passion for both compliance and accounting? This dynamic role offers the chance to wear two vital hats: spearheading municipal securities compliance and executing essential bookkeeping tasks. If you thrive in a tight-knit, team-centric environment and enjoy making an impact in a regulated industry, this position is for you!

Why Join Our Client?

Step into a pivotal role with a company that values expertise and precision. As a key member of the team, you'll navigate the ever-evolving world of municipal securities regulations while ensuring seamless financial operations. This is your opportunity to contribute to a stable and high-performing organization while sharpening your skills.

What You’ll Do:

Compliance (Primary Focus)

• Regulatory Oversight: Monitor and document compliance with MSRB and SEC regulations.
• Disclosure Management: Maintain diligence and prepare required disclosures, including quarterly G37 filings.
• Series 50 Licensing: Leverage your expertise in municipal securities as a licensed Series 50 Municipal Advisor Representative (required). Series 54 licensing is a plus!
• Securities Knowledge: Ensure books and records are accurate and manage documentation for SID deals and financial projections.

Accounting (Secondary Focus)

• Financial Operations: Oversee cash management, including deposits, payments, and payroll via ADP.
• Financial Statement Prep: Generate GAAP accrual-based financial statements and reconcile accounts.
• Audit & Tax Support: Coordinate audit preparations, manage PBCs, and collaborate with tax accountants for filings.
• 1099 Management: Oversee the preparation and filing of 1099s, including specialized filings.

What You Bring to the Table:

• Municipal Securities Experience: Hands-on expertise in a regulated environment is a must.
• Software Proficiency: Basic knowledge of Excel, Word, and QuickBooks Desktop.
• Detail-Oriented Skills: Strong ability to manage compliance documentation and ensure accurate financial reporting.

Who You Are:

• A highly organized individual with a knack for juggling compliance and accounting functions.
• Licensed (Series 50 required) with a solid foundation in municipal securities and an understanding of SEC/FINRA regulations.
• An adaptable professional eager to contribute to both regulatory and financial aspects of the business.

Job Number – 2789965LC