Job Description
Are you a detail-oriented professional looking to make a significant impact in the financial sector?
Midwest Compliance Group is currently seeking a dedicated Compliance Officer to join our dynamic team in Wichita, KS. We are offering a $10,000 Sign-On Bonus for the right candidate who possesses the expertise to navigate complex regulatory landscapes.
In this pivotal role, you will serve as the guardian of our integrity, ensuring all operations adhere to federal, state, and local laws. You will work closely with executive leadership to develop policies, conduct internal audits, and mitigate risks. If you are ready to advance your career with a top-tier firm that values excellence and rewards talent, we want to hear from you.
Why Join Us?
• Generous Compensation: Competitive salary package starting at $75,000.
• Sign-On Bonus: Receive $10,000 upon successful onboarding.
• Professional Growth: Access to ongoing training and leadership development programs.
• Modern Environment: Work in a collaborative, technology-driven office setting.
Responsibilities
- Develop, implement, and maintain the company's compliance program and policies to ensure adherence to legal standards and internal regulations.
- Conduct regular internal audits to identify potential risks, violations, or areas for improvement in operational procedures.
- Monitor changes in federal and state laws (e.g., SEC, FINRA, state banking regulations) and update company policies accordingly.
- Provide training and guidance to staff members on compliance-related topics and ethical standards.
- Investigate potential breaches or violations and recommend corrective actions to senior management.
- Prepare and submit regulatory reports to external bodies and ensure timely filing.
- Act as the primary point of contact for regulatory inquiries and inspections.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field required; Master’s degree preferred.
- Minimum of 3-5 years of experience in compliance, auditing, or risk management within the financial services industry.
- Strong understanding of regulatory frameworks, including FINRA, SEC, and state-specific compliance laws.
- Excellent analytical skills with the ability to interpret complex regulations and apply them to business operations.
- Strong verbal and written communication skills, with the ability to present complex information to diverse audiences.
- Must be detail-oriented, organized, and able to work independently in a fast-paced environment.
- Professional certification (e.g., CAM, CFP, JD) is a plus.