Job ID: MM266160411 Location: Omaha, NE Category: Executive Employment Type: Permanent Date Added: 04/11/2025 Apply now Back to Search Thank you for applying. Someone will be contacting you shortly.   Uploading Data... Creating Application... Finishing up... Apply Now

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Broker Dealer Compliance Principal | $70K -$100K | Day Shift | Remote / Hybrid | Direct Hire What Matters MostCompetitive Pay of $70K – $100K; DOE Schedule: Monday–Friday, 8:00 AM – 5:00 PMLocation: Omaha preferred; Remote friendlyDirect hire opportunity with career growth and stability Job DescriptionJoin 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 proceduresManage and assign compliance department workflow casesConduct and follow up on branch audits and proactively address issuesReview and respond to regulatory exams, inquiries, and complaintsApprove communications and transactions as a principal Qualifications and Requirements:Bachelor’s degree in Business, Finance, or related fieldMinimum 5 years of experience in the financial services industryFINRA 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 PayMedical, Dental, and Vision InsurancePaid HolidaysOngoing 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. 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