Job Description
Join Kansas City's premier financial institution as a Compliance Officer and safeguard our regulatory integrity. We're seeking a detail-driven professional to ensure adherence to federal, state, and industry regulations while driving our compliance culture forward. This direct-hire opportunity offers competitive compensation, comprehensive benefits, and career growth in a dynamic Midwest hub.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Train employees on regulatory requirements and policy updates
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain compliance documentation
- Collaborate with legal, risk, and operations teams to ensure cohesive controls
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 24, 26, or 27 certification required
- Deep knowledge of federal/state regulations (Dodd-Frank, AML, etc.)
- Strong analytical skills with experience in policy development
- Excellent written/verbal communication abilities
- CRCM or CCEP certification preferred