Job Description
Join our dynamic compliance team as a Compliance Officer in Kansas City, MO. You'll be instrumental in safeguarding our organization's integrity by ensuring adherence to federal regulations, internal policies, and industry standards. This pivotal role offers the opportunity to shape our compliance framework while working alongside industry leaders in a collaborative environment. We provide competitive compensation, comprehensive benefits, and clear pathways for career advancement.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies accordingly
- Train staff on compliance protocols and ethical standards
- Investigate and resolve compliance violations and regulatory inquiries
- Collaborate with legal and executive teams on compliance strategy
- Maintain detailed documentation of compliance activities
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Strong knowledge of banking regulations and AML/BSA requirements
- Professional certification (CCEP, CAMS, or similar)
- Exceptional analytical and problem-solving abilities
- Advanced proficiency in compliance software and MS Office
- Proven track record in developing compliance frameworks