Director, Compliance Wealth and Capital Markets

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Job description

At FNBO, our employees are the heart of our story--and we're committed to their success! Please see below the details of this career opportunity and how it fits into our organization's success.

This role can work remotely, but must be willing to travel to Omaha for exams.

The Director, Compliance will serve as the Chief Compliance Officer of First National Advisers, and is responsible for ensuring the RIA meets all compliance obligations under Investment Advisers Act of 1940 ("Advisers Act") and rules promulgated thereunder by the US Securities and Exchange Commissions ("SEC"). The RIA will have a traditional client servicing model, providing investment advice, investment management, planning and relationship management services. The RIA is a Bank affiliate and the successful candidate will understand how the RIA interacts with Bank Trust Department customers and other RIAs affiliated with the Bank. This individual will work closely with Corporate Compliance peers, business line leaders and first line risk partners to collaborate on processes and controls that ensure compliance and manage risk. The individual will manage all aspects of SEC examinations and may interact with other regulators as needed.

Responsibilities include:

• Designing and monitoring ongoing reviews of policies and procedures to ensure compliance with the Advisers Act and other applicable regulations
• Performing oversight of marketing and advertising reviews
• Ongoing Compliance Testing design
• Responding to and managing regulatory requests and internal and external examinations
• Developing and conducting compliance educations of staff related to the Compliance policies and procedures
• Perform regulatory filings as applicable
• Oversight of employee form filing
• Participation in oversight committees as required

Skills required:

• Bachelors degree or equivalent, JD highly desired
• 7-10 years of securities compliance experience, preferable in an RIA setting
• Excellent knowledge of the Investment Advisers Act, strongly preferred experience with the Investment
• Companies Act, FINRA rules and Fiduciary Activities of National Banks
• Series 65/66 (Series 7 and 24 preferred)
• Excellent interpersonal, presentation, written and oral communication skills
• Ability to serve as a liaison to all levels of management
• Strong attention to detail and analytical skills
• Must be willing to travel to Omaha for exams

Compensation:

Compensation range (base pay): $93,077.00-$148,710.00

IMPORTANT - This range is for the primary posting location of: Work at Home - Nebraska

Final compensation offer to candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level.

Benefits Overview:

We offer a variety of benefits designed to keep you and your family physically and financially healthy. Not only do we offer a competitive salary and work-life balance, we offer benefits to match your needs:

• Medical, Dental, Vision Insurance

• 401k, With Matching Contributions

• Time Off Programs

• Health Savings Account (HSA)/Dependent Care

• Employee Banking

• Growth Opportunities

• Tuition Assistance

• Short-Term/Long-Term Disability Insurance

Learn more about FNBO benefits here: .

For additional information regarding compensation and benefits, e-mail FNBO at . To ensure you receive a response, include the number of this job (listed below) in the subject line of your message.

Job number: R-

Equity, Diversity, & Inclusion:

FNBO is committed to belonging, inclusion, diversity and equity. We are committed to intentionally and proactively creating pathways to success for historically underrepresented populations. To accomplish this, we foster a culture of belonging and inclusion so that every employee is valued, and has opportunity and the ability to make an impact. FNBO strives to reflect the diversity of the communities we serve in the makeup of our workforce.

See the full FNBO Equity, Diversity, & Inclusion Statement here

All qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, or disability status.

Click here to download 'EEO is The Law' Self-Print Poster

Click here to download 'EEO is The Law' Supplement for Federal Contractors

Click here to download 'EEO is The Law' GINA Supplement