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 :
Our client is open to different types of compliance backgrounds as well as anyone interested in moving to the compliance space! Apply today : )
