Securities Compliance Consultant

As our Compliance Consultant, you’ll provide hands-on compliance expertise for broker-dealer and investment advisor functions. You’ll perform compliance reviews and onsite branch examinations to support our broker-dealer and investment advisory arm, Mutual of Omaha Investor Services, Inc. (“MOIS”).  You will partner closely with MOIS and enterprise business partners to ensure ongoing compliance with federal and state requirements.

WHAT WE CAN OFFER YOU:

• Estimated Salary: $86,000 - $118,000 plus annual bonus opportunity.
• 401(k) plan with a 2% company contribution and 6% company match.
• Work-life balance with vacation, personal time and paid holidays. See our benefits and perks page for details.
• Applicants for this position must not now, nor at any point in the future, require sponsorship for employment. 

WHAT YOU'LL DO:

• Lead and support compliance reviews, including onsite branch examinations and internal reviews.  Coordinate responses, follow up on findings, recommend corrective actions, and ensure issues are resolved within required timeframes.
• Interpret and apply federal and state securities regulations and FINRA rules. Assess the impact of securities-related regulations and provide clear, practical guidance to business partners to ensure timely and accurate compliance.
• Partner with business and operational leaders to implement process, system, and procedural changes driven by regulatory requirements. Identify potential compliance risks or inconsistencies and guide teams toward effective solutions.
• Provide compliance expertise, training, and ongoing support to internal business partners and stakeholders. Serve as a trusted advisor by translating complex regulatory requirements into clear, actionable guidance.

WHAT YOU’LL BRING:

• Experience working in a broker-dealer or investment environment.
• Strong working knowledge of securities regulations (FINRA, SEC, and state regulatory requirements)
• FINRA Series 7 and 24 required
• Ability to research, interpret, and apply complex regulatory requirements.
• Experience communicating compliance guidance to business partners and leadership.
• Ability to travel approximately 25%.
• You promote a culture of diversity and inclusion, value different ideas and opinions, and listen courageously, remaining curious in all that you do.
• Able to work remotely with access to a high-speed internet connection and located in the United States or Puerto Rico.

PREFERRED:

• Prior broker-dealer and/or investment advisor compliance experience.
• FINRA Series 66 or Series 63 + 65
• Experience performing compliance exams, audits, or risk reviews.
• Familiarity with insurance products and regulations.

We value diverse experience, skills, and passion for innovation. If your experience aligns with the listed requirements, please apply! 

If you have questions about your application or the hiring process, email our Talent Acquisition area at careers@mutualofomaha.com. Please allow at least one week from time of applying if you are checking on the status.

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