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Compliance specialist Jobs in Olathe, KS
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Compliance Officer
Larson Maddoxkansas, KS, United States- Promoted
Corporate Counsel - Government Subsidy Programs Compliance
T-MobileOverland Park, KS, United States- Promoted
Billing Specialist
City Wide Facility SolutionsOverland Park, KS, United States- Promoted
Software Compliance Analyst
KVC Health SystemsOlathe, KS, USManager, EH&S Compliance
Cogent CommunicationsOverland Park, KS- Promoted
EHS Specialist
TVH AmericasOlathe, KS, United States- Promoted
Government Compliance Coordinator
TerraconOlathe, KS, United StatesManager, Compliance Training & Awareness
PanasonicDe Soto, KS,Senior Compliance Consultant / GCP Auditor
ProPharma GroupOverland Park- Promoted
Collections Specialist
WellSkyOverland Park, KS, United StatesClaim Regulatory Compliance Manager
020 Travelers Indemnity CoOverland Park,KSBSA Compliance Officer KS
Adams, Inc.KS, USAnalyst, Business Compliance- Remote
CVS HealthKansas, Work At Home, USPartner Compliance Specialist
SelectQuote Insurance ServicesOverland Park, KS- Promoted
Child Care Licensing Specialist (Compliance Specialist II)
Johnson County, KansasOlathe, KS, United StatesAviation Compliance Engineer
GarminOlathe, Kansas, USProduct Compliance Consultant (PFML / Disability)
The StandardKS- Promoted
Child Care Licensing Specialist (Compliance Specialist II)
Johnson County GovernmentOlathe, KS, United States- Promoted
Senior Compliance Manager - Lending
Sunflower Bank, N.A.Overland Park, KS, USClaim Regulatory Compliance Manager
TravelersOverland Park,KSCompliance Officer
Larson Maddoxkansas, KS, United States- Full-time
An established investment management firm with over $30 billion in assets under management is seeking a talented and detail-oriented Compliance Officer for its Kansas City office. The firm specializes in structured credit, corporate credit, and other credit mandates, serving a diverse client base that includes institutional clients, registered investment advisors, and high net worth individuals. With a team of seasoned professionals and a strong performance track record, this firm offers an excellent opportunity for growth and development. This role will require 5 days a week in office, no exceptions!
Key Responsibilities :
- Review advertising materials to ensure compliance with SEC, FINRA rules, and internal policies
- Conduct forensic testing of electronic communications
- Manage and maintain the compliance calendar
- Monitor compliance with the firm's code of ethics, including policies on personal trading, gifts & entertainment, and political contributions
- Assist with new hire onboarding, ongoing training, and implementation of new regulations
- Support regulatory reporting, including Form ADV and Form PF
- Contribute to the firm's annual compliance review and risk assessment
- Assist with regulatory examinations and preparation of compliance reports for management and the board
- Stay updated on regulatory changes impacting the firm and assist in preparing for these changes
- Take on various compliance-related tasks as needed
Qualifications :
Our client is open to different types of compliance backgrounds as well as anyone interested in moving to the compliance space! Apply today : )