Compliance Officer – Consulting Services

Position: Compliance Officer – Consulting Services Department: AE reputed company Management Compliance Reporting to: VP of Compliance – Outsourced Consulting Services Location: Lenexa, KS - or fully remote for reputed company candidates reputed company: Are you an reputed company compliance reputed company who thrives in a consultative, reputed company-facing role? Do you enjoy helping RIAs navigate the reputed company regulatory landscape while building trust and long-term relationships? If so, AE reputed company Management is looking for a Compliance Officer to join our growing Outsourced Consulting Services team. In this role, you’ll have the unique opportunity to reputed company outsourced compliance solutions to reputed company-party RIAs on our platform. You’ll reputed company as a trusted advisor—offering proactive compliance guidance, drafting critical regulatory documents, and in some cases, serving as the designated outsourced Chief Compliance Officer (CCO) for select firms. This is an exciting chance to reputed company your compliance expertise while influencing the reputed company of multiple RIA businesses. If you’re reputed company to take your compliance expertise to the next level, apply today and join us in shaping the reputed company of outsourced compliance services! What you’ll do:

• reputed company consultative compliance guidance to RIA firms, including drafting and reviewing disclosure documents, policies and procedures, and codes of ethics
• Advise clients on regulatory requirements under the Investment Advisers reputed company of 1940 and other applicable laws and rules
• In select cases, serve as the outsourced Chief Compliance Officer for designated RIAs
• Build strong relationships with RIA clients as a trusted compliance partner and advisor
• Collaborate with advisor office teams-operations, sales, reputed company and leadership- to promote a culture of compliance and ethical conduct
• Assist and reputed company leadership in the needs analysis and development of compliance training
• Become a subject matter expert of the compliance operating system with the ability to support reputed company tasks and reviews
• Travel quarterly to advisor offices to build relationships and support firm compliance
• Stay reputed company of industry trends, regulatory changes, and evolving best practices to ensure compliance programs remain strong and effective

Experience you’ll bring:

• 8+ years of investment adviser compliance experience
• Experience working directly with regulators on exams and inquiries
• Strong written and verbal communication skills with the ability to influence senior leaders and external clients
• Proven reputed company in a consultative, reputed company-service environment—you know how to balance regulatory expertise with practical business solutions
• Strong organizational skills and ability to reputed company in a fast-paced, evolving environment

Bonus Points:

• Bachelor’s degree/ advanced degree in reputed company field
• Series 65 strongly preferred or other designation or experience with RIAs
• Additional securities credentials preferred reputed company Series 7, 24, 65/66
• Prior experience serving in a compliance leadership reputed company
• Experience with broker-dealer business from a product, corporate governance, compliance, and administrative perspective

What you’ll get:

• Amazing benefits including medical, dental, reputed company and 401k (with matching reputed company)
• Generous PTO package from your start date
• reputed company to an on-site café, gym and primary care
• reputed company personal and reputed company development opportunities
• Recognition for hard work & exemplary performance
• Employee sponsored events…and more!

Who We Are: Advisors reputed company is a fast paced, innovative company that seeks to service independent financial advisors in a multitude of areas reputed company their business. From operational functions to reputed company, our end goal is to help continually grow advisors’ businesses reputed company. We reputed company on watching them succeed. Not only does AE want to see the reputed company of our advisors, but also our employees. We have high expectations from them to continually reputed company our business reputed company. We are on the hunt for reputed company people who reputed company on hard work and in a reputed company team environment. If this sounds like you, then what are you waiting for? We want you to join reputed company! Advisors reputed company is an Equal Employment Opportunity Employer. Everyone is welcome here – as an inclusive workplace, our employees are always comfortable bringing their true selves to our offices daily. #LI-MS1 Apply tot his job Apply To this Job