Compliance Officer, Omaha|Compliance Exams, Problem Solving, Regulatory Exam Liaison| Series 24 Principal

I'm a seasoned compliance professional with both broker-dealer and investment advisor experience. I'm seeking a compliance position that will allow me to use my problem solving and organizational skills and regulatory knowledge. I'm interested in a broker-dealer or registered investment advisor that is looking for a manager who has experience with the development, planning and execution of branch office exams and facilitated regulatory branch office exams. Other financial services firms, such as banks and insurance companies, that have similar needs for experienced compliance professions offer opportunities consistent with my goals. I would like a position where I could use my written and oral communication skills take advantage of the seasoned understanding I have developed of administration, process and procedures.

Compliance Officer