A nationwide financial services firm is looking to add a Compliance Officer to their growing team! Reporting to both the Chief Compliance Officer and the Director of Compliance Operations, this role will consist of being responsible for coordinating the overall workflow of the Compliance Department. This includes maintaining compliance with policies and procedures and overseeing audit processes. This role will sit hybrid in Overland Park, KS.
Responsibilities:
- Conduct internal operational and compliance reviews to ensure controls are adequate and effectively maintained in accordance with policies & procedures
- Oversee the audit process from collecting data to reporting results
- Assist the Director of Compliance in identifying areas needing improvement or correctional training
- Conduct Firm Reviews to ensure compliance in accordance with the Firm's code of ethics, as well as policies & procedures
- Accurately compile information for external reviews and regulatory examinations
- Act as a resource for departments, management, and external business lines
- Keep current of issues and appropriately focus attention on areas that pose a high risk
- Participate in trainings to maintain critical knowledge as needed
Qualifications:
- Bachelor's Degree required or equivalent financial services industry experience
- Google Suite, Salesforce, Microsoft Suite, Adobe skills required
- FINRA Series 7 required
- 3-5 years of experience in Compliance, RIA, Broker Dealer
- FINRA Series 24 required
- Risk assessment skills
- FINRA Series 65 preferred
Benefits:
- Comprehensive healthcare (Dental, Medical, Vision)
- Group life & Disability
- Unlimited PTO
- Employee Assistance Program (EAP)
- 12 paid holidays
- Hybrid (3-4 days in office)
If you are interested in the Compliance Officer role, then please don't wait to apply.
