Sr. Compliance Principal (Series 24)
In this role, you will work with the CCO and the centralized compliance team to provide firm and branch level compliance control over the firms 300+ independent advisors nationwide. This position requires the ability to jump in with your feet running and be able to make an impact from day one. Our client offers a competitive compensation structure, excellent benefits and a strong corporate culture. Strong opportunity for advancement.
1. Review and approval of new account applications, reviewing transactions on a trade blotter, review and approval of variable annuities, mutual funds, and securities transactions for suitability and documentation, advisor email and client correspondence.
2. Conduct business practice reviews as needed and investigate sales practice concerns as they arise. Serve as point person for investigations and recommend disciplinary action as needed.
3. Assist with regulatory exams and requests as well as assist with the maintenance of the department’s written supervisory procedures.
4. Project management, planning and Issue resolution - This role will be relied upon to handle sometimes complex issues and aggressive deadlines.
Undergraduate degree in Business, Accounting, Finance, or related discipline
5 + years compliance experience and 5+ years industry experience
Series 7, 66, 24 required
Series 53 a plus
Life and Health Insurance License a plus
All Microsoft applications, particularly, Excel, Word, Access, PowerPoint, and Visio
Ability to work in a fast paced/high volume environment and be flexible with work schedule
Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
Excellent oral and written communication skills
Ability to make regulatory and supervisory-based decisions will be necessary to complete the day-to-day functions of the role and for staff support in their role as Branch Office Manager
Strong mentoring skills
Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential
Excellent management, and human relations skills
Ability to develop compliance systems and strategies for effective supervision
Knowledge of mutual funds, annuities, general securities, and other financial products required
Knowledge of FINRA SEC, and State rules and regulations
Candidates must be located in, or willing to relocate to the Kansas City, MO region.
Adkore|Megaforce - Banking Division
Our mission is to help our clients grow and attain their financial goals by attracting top talent in the Kansas City banking industry. We are selective about the clients we choose to work with so we can represent some of the most lucrative opportunities in the market. The positions we routinely work to fill are across the spectrum, but include commercial lenders, loan officers, commercial and residential loan operations staff, compliance and senior management. We offer both direct hire and contract opportunities for our candidates.
If you are in the Banking, Financial Services, Insurance or Mortgage Industry and are considering a change, regardless of the type of position, we would like to talk with you.
Please contact our banking division in the manner most convenient for you.
Michael Cusick – Lead Banking Recruiter
Travis Lupton – Account Executive
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