Experienced Compliance Specialist – FINRA/SEC Focus & Training

UMB Financial Corporation; Kansas City (MO); Sur place; USD 82 000 - 120 000; Plein temps

Avantages offerts par ce poste

401(k) matching program

annual incentive pay

health insurance

Résumé du poste

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.

Responsabilités

• 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.

Connaissances

Regulatory compliance

FINRA licensing

Training & education

Policy review

Formation

Bachelor's degree

MBA

JD

State insurance licenses

Description du poste

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.