Job Description
Join our dynamic team as a Compliance Officer in Kansas City, MO, where you'll safeguard regulatory integrity and drive ethical excellence. We offer a collaborative environment with growth opportunities in the heart of the Midwest. Your expertise will directly impact our organization's commitment to transparency and legal adherence while enjoying competitive benefits and a supportive culture.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (FINRA, SEC, etc.)
- Conduct risk assessments and internal audits to identify compliance gaps
- Provide regulatory guidance and training to staff across departments
- Investigate and resolve compliance violations with corrective action plans
- Prepare detailed reports for senior management and regulatory bodies
- Stay updated on evolving financial regulations and industry best practices
Qualifications
- Bachelor's degree in Finance, Law, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Strong knowledge of FINRA, SEC, and Missouri state regulations
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Exceptional analytical and problem-solving abilities
- Excellent written/verbal communication skills
- Proficient in compliance software (e.g., ComplianceEase, NICE Actimize)