Compliance Officer

4 weeks ago

Minneapolis, Minnesota, United States First National Bank of Omaha Full time

At Northland, 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.

Our Modern, Flexible Workplace:

We believe in a Modern, Flexible Workplace, and we are continuously exploring advancements in technology and office environments to make it easier to collaborate and connect with customers and coworkers.
It is anticipated that an incumbent in this role will work onsite 100% of the time and will have a dedicated workspace. Work location is subject to change based on business needs.

Summary of the Job:


Compliance Officer - Employee-centric focused role within the Compliance Department. This individual will also manage the Firms initiative on Training.

The Compliance Officer will support the firm compliance program to ensure employees and Northland comply with industry regulations and company policies. General areas of focus will relate to onboarding and terminations, conflicts of interest program management, and regulatory training. The ideal candidate will have an established understanding of broker-dealer and RIA regulations and compliance requirements

About This Role:

* Develop, maintain and execute most aspects of onboarding and offboarding all Northland employees and supervised individuals of Northland affiliates.

* Administer and manage activities relating to Northland Conflicts of Interest program, including the annual employee certification process, periodic attestations, social media, gifts and entertainment reporting, political contribution activities, outside business activities, and personal securities trading

* Manage Northland's training platform, which includes FINRA CE, Firm Element Continuing Education, Annual Compliance Meeting, AML training and other training as required for employees, supervisors, and supervised employees of Northland affiliates

* Liaise and collaborate with applicable corporate affiliates on matters relating to shared services, including training, hiring, terminations, and ensuring Northland meets its related regulatory obligations

* Support and/or carry out various components of the compliance monitoring and testing program of business units and branches ensure policies and procedures are being followed, and prepare related findings and reports

* Cultivate a strong partnership with business line and other support function colleagues to ensure compliance is viewed as a trusted advisor and partner

* Stay up to date of the ever-changing regulatory environment and actively participates in industry groups committed to assisting in and supporting the formulation of good regulation

* Assist the Co-Chief Compliance Officers on projects and additional duties as required

The Ideal Candidate for This Role:

The requirements listed below are representative of the knowledge, skill, and/or ability required in this job position.

  • Sufficient working knowledge of rules and regulations related to broker/dealer and registered investment advisor activities including the '33 Act; '34 Act and '40 Act, as well as, FINRA and State Rules and Regulations
  • Minimum of 2 years in supervisory or compliance role in the financial services industry, preferably at a broker-dealer
  • Ability to understand legal and regulatory rules and procedure documents, and implement procedures and practical solutions
  • Exercise sound judgment with an understanding of effective escalation of risk
  • Have strong research, investigative, and critical thinking skills
  • Ability to develop and maintain strong working relationships
  • Comfortable managing multiple projects, strong ability to prioritize and meet deadlines
  • Strong verbal and written communication skills
  • Must be a self-starter and work independently with minimal oversight
  • Able to analyze quantities of data and spot patterns outside the norm, identifying when additional research is required and following it to a conclusion
  • Periodic travel required

IV. MINIMUM EDUCATION AND EXPERIENCE

  • College degree or comparable securities industry experience
  • SIE, Series 7, 63 and 24 or Series 14

Compensation and 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 our benefits here:

To obtain compensation and benefit information related to this specific role, e-mail First National 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

Registration Requirement:

This position requires Financial Industry Regulatory Authority (FINRA) registration. Qualification requirements include meeting applicable financial industry responsibility, regulatory requirements, credit fitness and criminal background standards. Successful candidates must meet ongoing regulatory requirements including acceptable background investigation, credit report and fingerprinting results.

Equity, Diversity, & Inclusion:

We are 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. We strive to reflect the diversity of the communities we serve in the makeup of our workforce.

See the full 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

Application Deadline:

All our jobs will be posted for a minimum of 5 calendar days. Job postings may come down prior to 5 calendar days based on volume of applicants.

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

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