Compliance Specialist

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 standardsManage licensing and registration processes for advisors and registered staff, ensuring timely renewals and compliance with regulatory requirementsConduct regular audits of branch operations to identify compliance issues and recommend corrective actionsPrepare and submit quarterly compliance reports to management and regulatory bodiesMonitor and approve marketing materials to ensure compliance with industry regulationsOversee 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 field2+ years of direct, full-time Compliance experience in Financial Services; preferred within Wealth/Investment ManagementPrior experience working directly with regulatory agenciesSeries 65 needed; 7 and 24 preferredBenefits: Full medical, vision, dental and 401k programsCompetitive PTO packageGrowth and development with senior managementIf you are interested in the above, apply through the link for immediate consideration!