Sr. Compliance Specialist - FSI
Sr. Compliance Specialist - FSI
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$ 57760 - 124170
1 Vacancy
Job Description
Sr. Compliance Specialist-Kansas City
The Sr. Compliance Specialist will oversee electronic communications social media correspondence branch office exams marketing and advertising from a Compliance perspective and also be responsible for registering licensed individuals including outside business activities & investment accounts.
Additional Duties:
Complete regulatory and State Corporate Filings and respond to regulatory inquiries
Work closely with UMBFSI associates and other UMB departments to further ensure compliance with applicable rules and regulations including corporate risk legal human resources and internal audit
Assist with identifying educational and training needs and developing training curriculum and provide training during the annual compliance meeting monthly roundtable calls new hire orientations and at other times as needed
Act as a resource for registered associates who have questions or concerns about regulatory and policy requirements
Assist with resolving escalated or complex issues
Qualifications:
Bachelors Degree or equivalent combination of education & experience
5 years of compliance experience within the securities/financial services industry
FINRA Series 7 24 66 (or 63 and 65) preferred
Strong knowledge of securities/financial industry and related regulations
Excellent knowledge of insurance and investment products
Ability to handle detailed work with accuracy
Excellent verbal and written communication skills
Strong PC skills to include MS Word Excel email internet research and software tools
Effective analytical and research skills
Ability to work independently
Strong planning project management and problem solving skills
Compensation Range:
$57760.00 - $124170.00The posted compensation range on this listing represents UMBs standard for this role but the actual compensation may vary by geographic location experience level and other job-related factors. In addition this range does not encompass the full earning potential for this role. Please see the description of benefits included with this job posting for additional information
UMB offers competitive and varied benefits to eligible associates such as Paid Time Off; a 401(k) matching program; annual incentive pay; paid holidays; a comprehensive company sponsored benefit plan including medical dental vision and other insurance coverage; health savings flexible spending and dependent care accounts; adoption assistance; an employee assistance program; fitness reimbursement; tuition reimbursement; an associate wellbeing program; an associate emergency fund; and various associate banking benefits. Benefit offerings and eligibility requirements vary.
Are you ready to be part of something more
Youre more than a means to an enda way to help us meet the bottom line. UMB isnt comprised of workers but of people who care about their work one another and their community. Expect more than the status quo. At UMB you can expect more heart. Youll be valued for exactly who you are and encouraged to support causes you care about. Expect more trust. We want you to do the right thing no matter what. And expect more opportunities. UMBers are known for having multiple careers here and having their voices heard.
UMB and its affiliates are committed to inclusion and diversity and provide employment opportunities to all employees and applicants for employment without regard to race color religion sex (including gender pregnancy sexual orientation and gender identity) national origin age disability military service veteran status genetic information or any other status protected by applicable federal state or local law. If you need accommodation for any part of the employment process because of a disability please send an e-mail to to let us know the nature of your request.
If you are a California resident please visit our Privacy Notice for California Job Candidates to understand how we collect and use your personal information when you apply for employment with UMB.
Required Experience:
Senior IC
Employment Type
Full-Time
