Compliance Specialist

1 month ago


Overland Park, United States Larson Maddox Full time

A long-standing and reputable wealth management firm is hiring on a Compliance Specialist to join their team in the Kansas City Metro. The ideal candidate will be someone that has expertise throughout the Investment Advisory space as a generalist, who is looking to continue to grow and develop their career. The firm offers many lucrative benefits, a defined promotional path, and a collaborative culture.

Responsibilities:

  • Review and analyze blotters, gift logs, correspondence, and other relevant documents to ensure adherence to compliance standards
  • Manage licensing and registration processes for advisors and registered staff, ensuring timely renewals and compliance with regulatory requirements
  • Conduct regular audits of branch operations to identify compliance issues and recommend corrective actions
  • Prepare and submit quarterly compliance reports to management and regulatory bodies
  • Monitor and approve marketing materials to ensure compliance with industry regulations
  • Oversee the establishment of new offices and the onboarding process for new advisors, ensuring compliance with all relevant regulations

Qualifications:

  • Bachelor's degree in Finance, Accounting, Economics, or Business-related field
  • 2+ years of direct, full-time Compliance experience in Financial Services; preferred within Wealth/Investment Management
  • Prior experience working directly with regulatory agencies
  • Series 65 needed; 7 and 24 preferred

Benefits:

  • Full medical, vision, dental and 401k programs
  • Competitive PTO package
  • Growth and development with senior management

If you are interested in the above, apply through the link for immediate consideration


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