5 Compliance Associate Jobs in Kansas, MO
Forvis Mazars Culture & Careers is Hiring a Compliance Associate Near Kansas, MO
Creating a best-in-class employee experience is at the heart of our vision for the future. With several industry focus areas, multiple service lines, and locations in five geographical regions across the country to choose from, the opportunities for your career are without limit.
About FORVISFORVIS is a Top-10 professional services firm providing assurance, tax, and advisory services, driven by our commitment to using our forward vision to provide rewarding career opportunities and deliver unmatched client experiences. Learn more at FORVIS.com
Design your career with purpose at FORVIS. For more information about our firm locations, visit FORVIS.com. FORVIS, LLP is an equal opportunity/affirmative action employer. Employment selection and related decisions are made without regard to age, race, color, sex, sexual orientation, national origin, religion, genetic information, disability, protected veteran status, or other protected classifications.
_It is FORVIS's standard policy not to accept unsolicited referrals or resumes from any source other than directly from candidates._
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- FORVIS expressly reserves the right not to consider unsolicited referrals and/or resumes from vendors including and without limitation, search firms, staffing agencies, fee-based referral services, and recruiting agencies._ _
- FORVIS further reserves the right not to pay a fee to a recruiter or agency unless such recruiter or agency has a signed vendor agreement with FORVIS._ _
- Any resume or CV submitted to any employee of FORVIS without having a FORVIS vendor agreement in place will be considered the property of FORVIS._
- Requisition Number:** 2232890
The Compliance Associate works closely with the Chief Compliance Officer and Compliance Manager in researching, recommending and participating in projects primarily tied to the administration of Forvis Mazars Wealth Advisors' compliance program. The primary function of the Compliance Associate is to perform compliance monitoring, marketing review, data analysis, updating of written procedures and collection and retention of records. This position requires robust attention to detail, project management skills the ability to work well with members of various teams.
How You Will Contribute
- The primary responsibilities of this role include, but are not limited to, the following:
- Support the execution of compliance-related programs, such as compliance training, compliance testing and reporting, disaster recovery, contingency planning, administration of records retention policies, internal compliance audits, and implementation of new compliance guidelines and procedures;
- Participate and collaborate in the review and analysis of new regulatory developments;
- Contribute to the implementation of key processes designed to mitigate regulatory risk to comply with applicable SEC and DOL rules; promote and maintain industry best practices
- Collaborate with departmental leads/committees focused on the development and implementation of firm standard templates and procedures aimed at improving overall practice efficiency;
- Contribute to the continued implementation of compliance workflow and tracking software, including leading and developing training programs and communicating with the vendor on needed updates
- Maintain strict confidentiality of employee and client information;
- Assist in the maintenance of Form ADV and other regulatory reports and filings.
- Utmost integrity and a high level of interpersonal skills to handle sensitive and confidential situations.
- Advanced organizational skills and ability to manage multiple projects simultaneously.
- Detail oriented with strong decision-making and analytical skills
- Ability to work effectively with teams and independently
- Experience defining problems, establishing facts and drawing valid conclusions
- Excellent verbal and written communication skills.
- High School Diploma or equivalent required, Bachelors degree in a related field preferred
- At least 1-3 years of compliance and/or operations experience within a financial services / investment management company.
- Proficiency with Excel
- Knowledge of Investment Advisor compliance requirements
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- City:** Springfield
- State:** Missouri
- Community / Marketing Title:** Compliance Associate
- Location_formattedLocationLong:** Springfield, Missouri US
With a legacy spanning more than 100 years, Forvis Mazars is committed to providing a different perspective and an unmatched client experience that feels right, personal and natural. We respect and reflect the range of perspectives, knowledge and local understanding of our people and clients. We take the time to listen to deliver consistent audit and assurance, tax, advisory and consulting services worldwide.
We nurture a deep understanding of our clients' industries, delivering greater insight, deeper specialization and tailored solutions through people who listen to understand, are responsive and consult with purpose to deliver value.
_About Forvis Mazars, LLP_
_Forvis Mazars, LLP is an independent member of Forvis Mazars Global, a leading global professional services network. Ranked among the largest public accounting firms in the United States, the firm's 7,000 dedicated team members provide an Unmatched Client Experience® through the delivery of assurance, tax, and consulting services for clients in all 50 states and internationally through the global network. Visit forvismazars.us to learn more._
_Forvis Mazars, LLP is an equal opportunity/affirmative action employer. Employment selection and related decisions are made without regard to age, race, color, sex, sexual orientation, national origin, religion, genetic information, disability, protected veteran status, gender identity, or other protected classifications._
_It is Forvis Mazars, LLP standard policy not to accept unsolicited referrals or resumes from any source other than directly from candidates._
_Forvis Mazars, LLP expressly reserves the right not to consider unsolicited referrals and/or resumes from vendors including and without limitation, search firms, staffing agencies, fee-based referral services, and recruiting agencies._
_Forvis Mazars, LLP further reserves the right not to pay a fee to a recruiter or agency unless such recruiter or agency has a signed vendor agreement with Forvis Mazars, LLP.Any resume or CV submitted to any employee of Forvis Mazars, LLP without having a Forvis Mazars, LLP vendor agreement in place will be considered the property of Forvis Mazars, LLP._
Job Summary
Other
$84k-106k (estimate)
07/04/2024
08/01/2024
The job skills required for Compliance Associate include Attention to Detail, Written Communication, Financial Services, Project Management, Accounting, Compliance Monitoring, etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Associate. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Compliance Associate. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Compliance Associate positions, which can be used as a reference in future career path planning. As a Compliance Associate, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Associate. You can explore the career advancement for a Compliance Associate below and select your interested title to get hiring information.
If you are interested in becoming a Compliance Associate, you need to understand the job requirements and the detailed related responsibilities. Of course, a good educational background and an applicable major will also help in job hunting. Below are some tips on how to become a Compliance Associate for your reference.
Step 1: Understand the job description and responsibilities of an Accountant.
Quotes from people on Compliance Associate job description and responsibilities
Compliance officers organize regular training sessions for employees to communicate key regulatory changes and updates.
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Perform other compliance-related responsibilities and special projects as needed.
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They perceive the compliance risks and regulation measures within the business.
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Compliance associate understands the system and be able to establish their system.
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A compliance officer explains and defend their point of view.
02/09/2022: Madison, WI
Step 2: Knowing the best tips for becoming an Accountant can help you explore the needs of the position and prepare for the job-related knowledge well ahead of time.
Career tips from people on Compliance Associate jobs
Get Certifications and Continue Learning.
02/20/2022: Pascagoula, MS
Look for the Motivation of the Business.
03/31/2022: Spartanburg, SC
Proactively Work with Other Business Functions.
02/13/2022: Portsmouth, OH
Carefully Evaluate the Security and Compliance Posture of Business Associates.
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To execute the above tasks and to effectuate desired value, the compliance manager must possess a defined set of skills and expertise.
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Step 3: View the best colleges and universities for Compliance Associate.
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