At Northland, our employees are the heart of our story—and we’re committed to their success! Please see below the details of this career opportunity and how it fits into our organization’s success.
Summary of the Job:
About This Role:
Supervision & Compliance:
- Oversee all sales activities within RWM and IFI to ensure compliance with FINRA, SEC, and firm regulations.
- Monitor adherence to internal policies, procedures, and supervisory controls.
- Conduct reviews and approvals of client communications, account documentation, and trade activity as required.
- Identify and escalate potential compliance risks or regulatory issues.
Leadership & Team Support:
- Manage a team of supervisory principals and support staff.
- Provide guidance, coaching, and development to Sales, Operations, and Sales Support teams to enhance their effectiveness and understanding of supervisory responsibilities.
- Serve as a primary point of contact for complex sales and supervisory questions.
- Collaborate with other senior leaders to establish departmental risk mitigation standards, goals, and performance metrics.
Strategic Guidance:
- Support business initiatives by aligning supervisory oversight with departmental objectives.
- Recommend process improvements and operational enhancements to ensure efficiency and regulatory compliance.
- Partner with Compliance, Operations, and Leadership to implement new procedures, training programs, and controls.
Reporting & Documentation:
- Maintain accurate records of supervisory reviews, escalations, and resolutions.
- Prepare reports for management and regulatory review as needed.
Audit & Regulatory Examination Readiness:
- Work with the Compliance department on internal and external audits, ensuring all supervisory and operational procedures are up to date and properly documented.
- Participate in FINRA, SEC, and other regulatory examinations as a subject matter expert for sales supervision activities.
- Coordinate with Compliance, Operations, and Legal teams to respond to regulatory inquiries and ensure timely resolution of findings.
The Ideal Candidate for This Role:
Minimum Qualifications:
In-depth knowledge of regulatory requirements and compliance best practices.
- Analytical mindset with the ability to assess risks and make informed decisions.
- Strong organizational and multitasking abilities.
- Excellent communication and interpersonal skills.
- High attention to detail and accuracy.
Required:
- Experience: 10+ years of experience in a supervisory or compliance role within the financial services industry. Retail and fixed income experience preferred.
- Licensing: Active FINFRA Series SIE, 7, 24, 66, 53, and 6.
Desired:
- Education: Bachelor’s degree in finance, business, economics, or a related field preferred
Compensation:
Compensation range (base pay): $91,691.00-$155,874.00
This role may have a specific starting pay within this range.
Final compensation offer to candidate may vary from posted hiring range based upon work experience, education, and/or skill level.
Work Environment:
It is anticipated that the incumbent in this role will work onsite at the posted location. Our onsite environment fosters innovation, mentorship, and a vibrant culture where ideas flow freely and relationships flourish. As part of our team, you'll experience the energy of our collaborative spaces designed to support your professional growth while working alongside talented colleagues who inspire excellence daily. Please note that work location is subject to change based on business needs.Benefits Overview:
We offer a variety of benefits designed to keep you and your family physically and financially healthy. Not only do we offer a competitive salary and work-life balance, we offer benefits to match your needs:
Medical, Dental, Vision Insurance
401k, With Matching Contributions
Time Off Programs
Health Savings Account (HSA)/Dependent Care
Employee Banking
Growth Opportunities
Tuition Assistance
Short-Term/Long-Term Disability Insurance
Learn more about our benefits here: https://www.fnbo.com/careers/benefits/.
For additional information regarding compensation and benefits, e-mail First National at [email protected]. To ensure you receive a response, include the number of this job (listed below) in the subject line of your message.
Job number: R-20261006Registration Requirement:
This position requires Financial Industry Regulatory Authority (FINRA) registration. Qualification requirements include meeting applicable financial industry responsibility, regulatory requirements, credit fitness and criminal background standards. Successful candidates must meet ongoing regulatory requirements including acceptable background investigation, credit report and fingerprinting results.
Equal Opportunity & Belonging:
We believe that the quality of our employee experience is at the heart of our customer experience. One key pillar of our intended employee experience is Belonging. Belonging means we are committed to fostering a workplace culture where employees of all backgrounds feel valued, recognized, and empowered to be their authentic selves—no matter their role or where they are in their journey.
Learn more here.
Northland is an equal opportunity employer for all employees and applicants and makes employment decisions without regard to status or identity.
Click here to download 'EEO is The Law' Self-Print Poster
Click here to download 'EEO is The Law' Supplement for Federal Contractors
Click here to download 'EEO is The Law' GINA Supplement
Northland is an Equal Opportunity/Affirmative Action/Veterans/Disability Employer - Member FDIC
Northland follows federal law regarding the use of marijuana (this applies to all non-California applicants)
Application Deadline:
All our jobs will be posted for a minimum of 5 calendar days. Job postings may come down prior to 5 calendar days based on volume of applicants.
Skills Required
- 10+ years of experience in a supervisory or compliance role within the financial services industry
- Active FINRA registrations/licenses: Series SIE, 7, 24, 66, 53, and 6
- In-depth knowledge of FINRA, SEC, and regulatory compliance best practices
- Experience managing and developing supervisory principals and support staff (people management)
- Experience with sales supervision: review of client communications, account documentation, and trade activity
- Analytical mindset with ability to assess risk and make informed decisions
- Strong organizational and multitasking abilities
- Excellent communication and interpersonal skills
- High attention to detail and accuracy
- FINRA registration standards: acceptable background investigation, credit fitness, and fingerprinting results
- Unrestricted work authorization; cannot require future visa sponsorship
- Bachelor's degree in finance, business, economics, or related field
- Retail and fixed income experience
Fnbo Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Fnbo and has not been reviewed or approved by Fnbo.
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Retirement Support — Retirement plans include a matching 401(k) with an additional company contribution and other savings programs such as pension, stock bonus, and profit sharing. These features are portrayed as a strong component of total rewards.
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Parental & Family Support — Family supports include paid caregiving time for birth or adoption and for serious family health needs, caregiver leave, new‑parent assistance, and childcare resources. These offerings are highlighted as helpful for employees balancing work and family.
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Leave & Time Off Breadth — Time away is described as generous, combining paid time off with a broad set of observed holidays. Volunteer time off further adds flexibility for personal and community needs.
Fnbo Insights
What We Do
For more than 165 years, FNBO, a subsidiary of First National of Nebraska, has set the standard for outstanding customer service coupled with some of the most innovative financial products in the industry. When it opened in 1857, FNBO was a local bank that served only Omaha and the surrounding communities. Today, FNBO has locations in eight states and more than 6.6 million customers across the country. First National of Nebraska and its affiliates have nearly $30 billion in managed assets and 5,000 employee associates. We've come a long way in the last century and a half. As you browse through our site, we think you'll understand why we've been so successful – and why we're so excited about what the future holds for our customers and our organization. Check us out at www.fnbo.com.
