Job Description
Join our dynamic team as a Compliance Officer in Kansas City, MO! We're seeking a detail-oriented professional to ensure regulatory adherence and foster a culture of compliance excellence. This pivotal role combines strategic oversight with hands-on implementation to protect our organization's integrity and reputation. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (Dodd-Frank, AML, BSA) and industry standards
- Conduct risk assessments and internal audits to identify compliance gaps
- Provide training to staff on regulatory updates and best practices
- Investigate and resolve compliance violations with appropriate corrective actions
- Liaise with regulatory bodies and maintain accurate documentation
- Stay current on evolving regulations through continuous research
- Collaborate with legal and executive teams on compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and state regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., Actimize, NICE Actimize)
- Excellent communication and stakeholder management abilities
- Ability to thrive in a fast-paced, regulated environment