What are the responsibilities and job description for the Compliance Officer position at Larson Maddox?
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:
- Bachelor's degree required
- 1-5 years of experience, preferably in asset management or financial services
- Exceptional attention to detail, organization, and ability to thrive in a fast-paced environment
- Strong written and verbal communication skills
- Ability to manage multiple priorities and meet tight deadlines
- Excellent problem-solving, research, and time management skills
- Collaborative team player with the ability to work independently
Our client is open to different types of compliance backgrounds as well as anyone interested in moving to the compliance space! Apply today :)
