Chief Compliance Officer The Chief Compliance Officer (CCO) is responsible for the development, operation, review and enhancement of the Registered Investment Advisory firm's compliance systems, policies, and procedures. Additionally, the CCO will be the vanguard in fostering a culture of compliance within the organization. Responsibilities: Help instill and maintain high ethical standards of organization, team leaders and associates Develop, initiate, maintain and revise policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal unethical or improper conduct. Manage day-to-day operation of the program Monitor performance of the Compliance Program, taking appropriate steps to improve its effectiveness Develop, review and update policies and procedures to ensure continuing relevance in providing guidance to management and associates Collaborate with other departments (e.g., Operations, Supervision, Human Resources, etc.) to direct compliance issues to appropriate personnel for investigation and resolution May consult with legal counsel to resolve difficult or unusual compliance issues Respond to alleged violations of rules, regulations, policies, procedures and Standards of Conduct by evaluating or recommending investigative procedures; develop and oversee a system for uniform handling of all alleged violations Monitor and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues and provide general guidance on how to avoid or deal with similar situations in the future Provide reports on a regular basis or as requested, to keep senior management informed of the operation of the Compliance Program Ensure proper reporting of violations or potential violations to regulatory agencies as appropriate and/or required Institute and maintain an effective compliance communication program for the organization, including promoting awareness of policies and procedures and further understanding of new and existing compliance issues Manage a compliance training program, including appropriate introductory training for new associates as well as ongoing training for all associates and team leaders Assist in the development of new business lines Develop and review exception reports, systems functions and business procedures and engage in other proactive surveillance activities to detect and resolve potential compliance issues Supervise, hire and train compliance associates Serve as principal point-of-contact with regulators Ensure registrations (including continuing education and ethics requirements) and memberships of the Company and all relevant associates stay current Requirements: Prior experience as Senior Compliance Officer with a SEC Registered Investment Advisor is mandatory Solid understanding of SEC regulation of advertising is sought 5+ years of experience in financial services industry Understanding of operations of a third party investment advisor beneficial Bachelor's degree required Strong working knowledge of SEC/state regulations including Investment Adviser's Act of 1940 JD and/or prior employment by the SEC, FINRA or any security exchange is beneficial Securities Licenses: 65 mandatory; Series 7, 24, 27, 63/66 are beneficial Benefits: In exchange for your expertise, we offer a competitive salary depending on experience, 401(k) plus matching, health benefits and a great working environment in one of the newer professional West Omaha office locations. This is your chance to play a key role in the continued success of our company. Our culture is fast-paced, motivational, and focused on healthy living.