Job Description
Join our dynamic compliance team in Kansas City, MO as a Compliance Officer. You'll be instrumental in ensuring our organization adheres to federal and state regulations while fostering a culture of ethical conduct. This role offers hybrid flexibility and growth opportunities within a Fortune 500 financial services provider.
We seek a proactive professional with expertise in financial regulations to develop compliance frameworks, conduct risk assessments, and lead regulatory reporting initiatives. Enjoy competitive benefits including health insurance, 401(k) matching, and professional development stipends.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with FINRA, SEC, and state regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Monitor regulatory changes and update policies accordingly
- Train staff on compliance procedures and ethical standards
- Manage regulatory reporting and documentation requirements
- Collaborate with legal and internal audit teams on investigations
- Lead remediation efforts for compliance deficiencies
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services or banking
- FINRA Series 7, 24, and 63/66 licenses required
- Deep knowledge of federal/state banking regulations (BHC Act, BSA/AML)
- Advanced proficiency in compliance management software (e.g., RSA Archer)
- Strong analytical and investigative skills
- Excellent written/verbal communication abilities
- SHRM or CCEP certification preferred