3 дня назад
Compliance Consultant (Financial Services)
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Compliance Consultant (Financial Services): Co-leading the Code of Ethics program and supporting corporate compliance initiatives across a regulated investment management organization with an accent on personal trading oversight, regulatory risk assessment, and stakeholder reporting. Focus on investigating potential violations, strengthening compliance controls, delivering regulatory training, and improving monitoring processes through technology and automation.
Location: Hybrid position based in the Kansas City, Missouri office; scheduled office attendance is required. Applicants must be authorized to work in the United States without visa sponsorship, now or in the future.
Company
is a privately owned global asset manager focused solely on investment management across equities, fixed income, multi-asset strategies, ETFs, and private investments.
What you will do
- Co-lead the Code of Ethics program, monitor employee personal trading, and investigate potential violations.
- Prepare compliance reports, responses, and communications for the Code of Ethics Committee, Fund Boards, clients, and other stakeholders.
- Develop and deliver training on compliance policies, procedures, and regulatory requirements.
- Monitor gifts, entertainment, and business expenses while supporting the Corporate Compliance Program.
- Identify regulatory changes and compliance risks, assess organizational impact, and strengthen related controls.
- Use compliance technology, automation, and industry practices to improve processes and program effectiveness.
Requirements
- Bachelor's degree in a related field or an equivalent combination of education and experience.
- At least 3 years of experience in a compliance role within financial services or another highly regulated company.
- Working knowledge of the securities regulatory environment and relevant industry practices.
- Strong analytical, critical-thinking, investigative, organizational, and documentation skills.
- Experience with compliance technology platforms and process improvement through technology.
- Excellent written, verbal, and interpersonal communication skills, with the ability to work independently and collaboratively.
Nice to have
- Experience with StarCompliance or another compliance monitoring system.
Culture & Benefits
- Full-time, in-house role reporting to the Code of Ethics Compliance Manager.
- Competitive compensation package with a bonus plan.
- Generous paid time off and competitive benefits.
- 401(k) with a 5% company match and an annual performance-based discretionary contribution.
- Tuition reimbursement, formal mentorship, and live and online learning opportunities.
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