Job ID: MM266160411
Location: Omaha, NE
Category: Executive
Employment Type: Permanent
Date Added: 04/11/2025
Broker Dealer Compliance Principal | $70K -$100K | Day Shift | Remote / Hybrid | Direct Hire
What Matters Most
- Competitive Pay of $70K – $100K; DOE
- Schedule: Monday–Friday, 8:00 AM – 5:00 PM
- Location: Omaha preferred; Remote friendly
- Direct hire opportunity with career growth and stability
Job Description
Join a dynamic and experienced financial services firm as a Compliance Principal. In this role, you’ll work closely with the Chief Compliance Officer and other internal departments to support and oversee the firm’s broker-dealer activity. Responsibilities include maintaining procedures, supporting audits, managing compliance workflows, and responding to regulatory inquiries. This is a high-impact position with opportunities for professional growth and leadership in a collaborative and values-driven environment.
Responsibilities:
- Maintain and update the firm’s written supervisory procedures
- Manage and assign compliance department workflow cases
- Conduct and follow up on branch audits and proactively address issues
- Review and respond to regulatory exams, inquiries, and complaints
- Approve communications and transactions as a principal
Qualifications and Requirements:
- Bachelor’s degree in Business, Finance, or related field
- Minimum 5 years of experience in the financial services industry
- FINRA licenses/certifications required (Series 7,24, 63 and 65 within 6 months); preferred Series 4, 51, 53
- Strong knowledge of broker-dealer compliance
Benefits and Perks:
- Competitive Pay
- Medical, Dental, and Vision Insurance
- Paid Holidays
- Ongoing Training and Career Advancement Opportunities
Your New Organization:
With over 40 years of industry experience, this client is a forward-thinking financial services firm dedicated to empowering financial professionals. Their culture is built on core values of being personal, authentic, collaborative, and knowledgeable—creating a supportive and innovative workplace environment.
Your Career Partner:
The Reserves Network, a veteran-founded and family-owned company, specializes in connecting exceptional talent with rewarding opportunities. With extensive industry experience, we are dedicated to helping you achieve your professional goals and shine in your field. The Reserves Network values diversity and encourages applicants from all backgrounds to apply. As an equal-opportunity employer, we foster an environment of respect, integrity, and trust in every aspect of employment.
The base salary range for this position is $70K – $100K, excluding benefits, bonuses, or other compensation. Your final salary will depend on your skills, qualifications, experience, location, and internal pay equity. Please note, hiring at the top of the range is uncommon to allow room for future salary growth.
