Compliance Specialist - Financial Services

UMB Financial Corporation; Kansas City (MO); On-site; USD 82,000 - 120,000; Full time

Benefits offered by this job

401(k) matching program

annual incentive pay

health insurance

Job summary

UMB Financial Corporation is seeking a Compliance Specialist to work with a dedicated compliance team to implement UMBFSI’s compliance program in the Missouri market.

The role involves overseeing communications, monitoring regulatory developments, preparing filings, and guiding cross‑departmental policy implementations. A bachelor’s degree and 5+ years of experience, plus FINRA licenses, are required.

Qualifications

• Bachelor’s degree or equivalent education and experience.
• Five (5) years of relevant experience.
• FINRA Series 7.
• Bonus Points: FINRA Series 24 (or willingness to attain within 90 days).
• FINRA Series 52, 53, 66 (or 63 and 65).
• Seven (7) years of compliance experience in the securities industry.
• Advanced Degree (MBA, JD).
• State insurance licensing in fixed and variable insurance products for all States where UMB Insurance is admitted.

Responsibilities

• Oversee electronic communications, social media, correspondence, branch office exams, marketing and advertising.
• Monitor regulatory developments from FINRA, SEC, MSRB and others.
• Prepare regulatory filings and respond to inquiries.
• Provide guidance on regulatory implications of new rules and products with other departments.
• Identify training needs and develop curricula; deliver trainings during meetings and orientations.
• Other compliance duties as assigned.

Skills

Regulatory compliance

FINRA licensing

Training & education

Policy review

Education

Bachelor's degree

MBA

JD

State insurance licenses

Job description

UMB Financial Services Inc (UMBFSI) is the broker dealer/investment advisor affiliate of UMB that is governed by FINRA and the SEC. Within UMBFSI we serve retail customers as well as institutional customers and municipalities with services such as discount and full-service Brokerage accounts, Qualified Retirement Plans, Retirement Plan Consulting Services, college planning and retirement planning among many others. As a Compliance Specialist, you will work with a dedicated compliance team to implement UMBFSI’s compliance program.

How you’ll spend your time:

• oversee electronic communications, social media, correspondence, branch office exams, marketing and advertising.
• monitor and review regulatory developments that may affect the firm, including those from FINRA, SEC, MSRB and other regulatory organizations.
• prepare regulatory filings and respond to regulatory inquiries.
• provide guidance on regulatory implications associated with new or proposed rules and new UMBFSI products or services while working 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.
• Other compliance duties as assigned.

Qualifications:

• You possess a bachelor’s degree or equivalent education and experience.
• You have five (5) years of relevant experience.
• You possess the FINRA Series 7.
• Bonus Points if you: Possess the FINRA Series 24 (or a willingness to attain within 90 days of hire).
• Possess the FINRA Series 52, 53, 66 (or 63 and 65).
• You have seven (7) years of compliance experience in the securities industry.
• Advanced Degree (MBA, JD).
• State insurance licensing in fixed and variable insurance products for all States where UMB Insurance is admitted.

This position was posted on 10/23/2026. The application deadline for this position is 45 days from the posting date unless filled earlier.

Compensation Range: $81,864 - $120,406

Benefits:

• 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
• dependent care accounts
• adoption assistance
• an employee assistance program
• fitness reimbursement
• tuition reimbursement
• an associate wellbeing program
• an associate emergency fund
• various associate banking benefits

UMB isn't 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. You'll 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 [e-mail] 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.

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Who we are

We are more than a company. We are advisors, consultants, problem solvers, friends, community members, experts, and we are here to help you make the best of every moment with a financial foundation that can help you succeed. Check out the road to a career at UMB