Executive Chief Compliance & Risk Officer

Mid-American Wealth; Kansas City (MO); On-site; USD 100,000 - 150,000; Full time

Benefits offered by this job

Medical

Vision

HSA/FSA

AD&D

Disability

Job summary

A leading wealth management firm is seeking a motivated Chief Compliance Officer to ensure adherence to regulatory requirements and manage compliance risks. The CCO will develop policies, oversee audits, and maintain employee licensing, fostering a culture of compliance. Candidates should possess a Bachelor's degree and extensive experience in compliance within financial services. This role is full-time and executive level.

Qualifications

• 7-10 years of compliance experience required.
• Proven experience in regulatory compliance within financial services or related industry.

Responsibilities

• Ensure the organization maintains 100% compliance with all applicable laws and regulations.
• Proactively identify compliance risks and implement mitigation strategies.
• Conduct and oversee quarterly audits and bi-annual risk assessments.
• Develop, implement, and regularly update compliance-related policies and procedures.
• Manage and verify all employee licensing requirements.
• Adhere to all regulatory and compliance requirements in all client interactions.

Skills

Regulatory compliance knowledge

Risk management

Strong communication skills

Leadership skills

Education

Bachelor’s degree in Law, Business, Finance, or related field

Job description

A leading wealth management firm is seeking a motivated Chief Compliance Officer to ensure adherence to regulatory requirements and manage compliance risks. The CCO will develop policies, oversee audits, and maintain employee licensing, fostering a culture of compliance. Candidates should possess a Bachelor's degree and extensive experience in compliance within financial services. This role is full-time and executive level.