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