Nebraska Licensed Compliance Administrator

Job Summary

To support compliance efforts within a financial services organization, the full-time Nebraska Licensed Compliance Administrator will manage licensing and registration processes, ensure adherence to regulatory requirements, and oversee compliance systems administration in a remote setting.

Key responsibilities

• Process FINRA, SEC, and state licensing and registration requests, maintaining compliance with all regulatory requirements
• Coordinate advisor onboarding and offboarding, ensuring timely processing of registrations and documentation
• Administer compliance technology platforms, maintaining system configurations and addressing any issues that arise

Required qualifications

• Bachelor's degree in business administration, finance, accounting, legal studies, information systems, or a related field
• Minimum of three years of experience in licensing, registration, or securities compliance within a financial services organization
• Preferred Series 7, 24, 63, 65, or 66 license
• Experience with compliance technology platforms such as Salesforce, Smarsh, or RegEd
• Intermediate proficiency in Microsoft Office, including Word, Excel, and PowerPoint