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!
