Job Description
Join our award-winning financial institution as a Compliance Officer in Kansas City, MO! We're seeking a detail-oriented professional to safeguard regulatory integrity and drive ethical excellence. In this pivotal role, you'll develop robust compliance frameworks, conduct risk assessments, and ensure adherence to federal/state regulations including FINRA, SEC, and AML guidelines. Our collaborative culture offers competitive benefits, professional development, and the opportunity to shape compliance strategy in a dynamic industry.
Responsibilities
- Design, implement, and monitor comprehensive compliance programs aligned with regulatory requirements
- Conduct internal audits and risk assessments to identify compliance vulnerabilities
- Develop and deliver employee training on policies, procedures, and regulatory updates
- Investigate and resolve compliance violations with corrective action plans
- Liaise with regulatory bodies during examinations and audits
- Stay current on evolving regulations (e.g., Dodd-Frank, BSA/AML) and advise stakeholders
- Prepare compliance reports for executive leadership and board committees
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services or regulated industry
- Strong knowledge of FINRA, SEC, and state/federal regulations
- Certifications (CRCM, CAMS, CCEP) highly valued
- Exceptional analytical and problem-solving abilities
- Advanced proficiency in compliance software and data analysis tools
- Excellent written/verbal communication and presentation skills
- Experience leading cross-functional compliance initiatives