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COMPLIANCE SPECIALIST

Company: Larson Maddox
Location: Overland Park
Posted on: October 29, 2024

Job Description:

A long-standing and reputable wealth management firm is hiring on a Compliance Specialist to join their team in the Kansas City Metro. The ideal candidate will be someone that has expertise throughout the Investment Advisory space as a generalist, who is looking to continue to grow and develop their career. The firm offers many lucrative benefits, a defined promotional path, and a collaborative culture.Responsibilities:

  • Review and analyze blotters, gift logs, correspondence, and other relevant documents to ensure adherence to compliance standards
  • Manage licensing and registration processes for advisors and registered staff, ensuring timely renewals and compliance with regulatory requirements
  • Conduct regular audits of branch operations to identify compliance issues and recommend corrective actions
  • Prepare and submit quarterly compliance reports to management and regulatory bodies
  • Monitor and approve marketing materials to ensure compliance with industry regulations
  • Oversee the establishment of new offices and the onboarding process for new advisors, ensuring compliance with all relevant regulationsQualifications:
    • Bachelor's degree in Finance, Accounting, Economics, or Business-related field
    • 2+ years of direct, full-time Compliance experience in Financial Services; preferred within Wealth/Investment Management
    • Prior experience working directly with regulatory agencies
    • Series 65 needed; 7 and 24 preferredBenefits:
      • Full medical, vision, dental and 401k programs
      • Competitive PTO package
      • Growth and development with senior managementIf you are interested in the above, apply through the link for immediate consideration!

Keywords: Larson Maddox, Overland Park , COMPLIANCE SPECIALIST, Other , Overland Park, Kansas

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