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Compliance Director

2 months ago

omaha, United States IAMS Wealth Management Full time

IAMS Wealth Management is an SEC-Registered Investment Advisor providing full-service back-office solutions to investment advisors across the United States. We are dedicated to upholding the highest standards of compliance and integrity, and we are seeking a highly motivated and detail-oriented Compliance Director to join our team. This role will support our Chief Compliance Officer in ensuring our firm's adherence to all relevant laws and regulations.


The Compliance Director will play a key role in the development, implementation, and maintenance of IAMS Wealth Management’s compliance programs. This position involves overseeing compliance activities, managing various administrative tasks, and ensuring that our compliance efforts are both seamless and effective.


Key Responsibilities:

• Oversee branch office advisors to ensure adherence to compliance standards.

• Review and approve marketing materials for regulatory compliance.

• Vet and archive communications to meet industry standards and regulations.

• Ensure accurate completion and proper filing of all required paperwork.

• Conduct spot checks on compliance processes and activities.

• Assist in the development and maintenance of compliance policies, procedures, and guidelines.

• Support the compliance team in conducting risk assessments and audits.

• Collaborate with cross-functional teams to identify and address compliance issues.

• Participate in compliance-related projects and initiatives as needed.


Qualifications:

  • Bachelor's degree in a relevant field (e.g., Business, Law, Compliance).
  • 1-3 years of experience in compliance, regulatory affairs, or a related field.
  • Strong organizational and project management skills.
  • Excellent attention to detail and analytical abilities.
  • Effective communication and interpersonal skills.
  • Ability to work collaboratively in a team and independently when necessary.
  • Proficiency in Microsoft Office Suite, including Word, Excel, and PowerPoint.


Preferred Qualifications:

  • Certification in compliance or related field (e.g., Certified Compliance & Ethics Professional - CCEP).
  • Familiarity with relevant laws and regulations in the wealth management industry.
  • Experience with compliance software or tools.


Why IAMS Wealth Management?

• Competitive salary and benefits package with bonus potential.

• Opportunity for professional growth and development.

• Collaborative and inclusive work environment.